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Investor Seeks $4.7 Million in Dispute Involving Johanna Laudicina

Johanna Laudicina (CRD #: 5662931), a broker registered with Wells Fargo Clearing Services, is named in a pending dispute, according to her BrokerCheck record, accessed on September 25, 2022. If you have questions about his conduct as a broker, keep reading.

Investor Dispute

A pending dispute filed on August 5, 2022, named Johanna Laudicina in allegations that Wells Fargo and several of its brokers failed to follow her instructions regarding an account she was entitled to joint ownership over. The client seeks $4,731,350 in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Johanna Laudicina has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Johanna Laudicina is a registered broker in 25 states and a registered investment adviser in Illinois and Indiana.

She has also worked for UBS Financial Services (CRD#:8174) and Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Johanna Laudicina and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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