Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ward (Ward), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ward recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.
Time Frame: October 16th 2023 to October 23rd 2023 What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.