The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker George Puliafico. According to his publicly available FINRA BrokerCheck report, George Puliafico has been the subject of a customer dispute.

George Puliafico is a Massachusetts based securities broker. He has worked in the securities industry for thirty-six years. During his career, he has been registered with seven different securities firms.

His Registrations

  • First Investors Corporation (1983-1984)
  • IDS Financial Services (1984-1986)
  • IDS Marketing Corporation (1984-1986)
  • Lehman Brothers Inc. (1986-1993)
  • Smith Barney Shearson (1993-1994)
  • Robert Thomas Securities (1994-1999)
  • Raymond James Financial Services (1999-Present)

The Allegations

In April 2018, a customer alleged that George Puliafico managed their account negligently, breached his fiduciary duty, and breached contract. This case was settled for $97,500 in damages.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages. Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with George Puliafico, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.