JOHN PAUL ROCCO at WELLS FARGO CLEARING SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7168973
JOHN PAUL ROCCO is an Investment Adviser, associated with WELLS FARGO CLEARING SERVICES, LLC located at LEVITTOWN, PA. JOHN ROCCO’s Central Registration Depository (CRD) number is 7168973 and the FINRA Profile can be found at –

Disclosure #1 for JOHN ROCCO

    • Event Date: 7/25/2012
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: Statute: Manufacture, delivery, or possession with intent to manufacture or deliver
    • Disposition: Reduced
    • Amended Charges: new charge was reduced to a misdemeanor possession charge which I pled guilty to
    • Amended Charge Type: MISDEMEANOR
    • Amended Charge Disposition: Pled guilty
    • Broker Comment: In regards to the aforementioned allegations and a written detailed explanation in regards to them here is my best account that I can provide. On that date a little over seven years ago I was driving to a summer class for college at Temple Ambler. I got pulled over for stop rolling through a three way stop sign. The police officer that pulled me over found a small amount of marijuana in the car and then arrested me. Subsequently, I was initially charged with a possession with an intent to distribute but eventually the charges were lowered to a simple misdemeanor possession offense as you can see through the FBI background check that shows the original charges were withdrawn.
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Should I file a FINRA complaint against brokers like JOHN PAUL ROCCO?

Many investors (presumably, like yourself) 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 lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by JOHN PAUL ROCCO’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Visit to read a detailed report for WELLS FARGO CLEARING SERVICES, LLC

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Yes. There are disclosures, allegations, or complaints filed against JOHN PAUL ROCCO. Click here to view all details

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Is it safe to do business with JOHN PAUL ROCCO?

We’re not sure. Please research JOHN ROCCO’s disclosures, allegations and complaints before taking a decision

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Originally reported on November 17, 2022 @ 9:36 pm

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