Joseph Barreca Involved in Investor Dispute

Joseph Barreca (CRD #: 3276048), a broker registered with Wells Fargo Clearing Services, has been the subject of an investor dispute, according to his BrokerCheck record, accessed on May 13, 2025. Investors may have also worked with him through Wells Fargo Advisors. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On April 4, 2023, an investor alleged that Joseph Barreca failed to contact her in 2022 to discuss her account following the termination of her previous investment advisor representative. The client alleged that the value of her account declined, and sought $70,000 in damages. The firm denied the dispute.

Investors should be aware, however, that firms can deny disputes without an outside review. Investors may be able to recover damages following a denial by pursuing FINRA arbitration.

FINRA Rule 2010

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

Background Information

Joseph Barreca has passed the following exams:

• General Securities Principal Examination – Series 24
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

Joseph Barreca is a registered broker in 25 states and a registered investment adviser in Louisiana and Texas.

He has also worked for the following firms:

• First Horizon Advisors (CRD#:17117)
• Infinex Investments (CRD#:35371)
• Essex National Securities (CRD#:25454)
• Investment Advisors (CRD#:15708)
• ProEquities (CRD#:15708)
• Wells Fargo Investments (CRD#:10582)
• PFIC Securities Corporation (CRD#:34941)
• Bank United Securities Corporation (CRD#:30288)
• Hibernia Investments (CRD#:17526)

Kurta Law Can Help

If you worked with Joseph Barreca 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 that 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.