Securities Arbitration Lawyers BlogFormer Arvest Broker Joe D. Treece Under Investigation for Allegedly Borrowing Money from a Client
Silver Law Group is investigating former Arkansas-based Arvest Wealth Management (CRD# 42057) broker Joe D. Treece (CRD# 2925735) after FINRA and other state regulators barred him from acting as a broker.
According to Treece’s FINRA BrokerCheck, FINRA permanently barred Treece in October 2016 from acting as a broker or otherwise associating with firms that sell securities to the public after Treece failed to respond to a FINRA request for information.
FINRA then suspended him, according to his BrokerCheck report, in December 2016 after Treece failed to comply with an arbitration award or settlement agreement or failed to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.