Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Lefranc Joseph (Joseph) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Joseph was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Joseph’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on November 15, 2021.
LeFranc Joseph who was not a named party to the action. Joseph’s name did not appear in the body of the SOC, however, DLA made a best efforts attempt and confirmed that he was the IC who sold the investments at issue in the SOC. The allegations do not include misappropriation, forgery, theft or conversion of funds or securities. Allegation period December 22, 2015 to November 15, 2021