Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Simon Joseph (Joseph), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Joseph recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 11, 2023.
Client alleges losses of over $250,000 in January of 2022 due to unauthorized trades, unsuitable recommendations, misrepresentation, failure to supervise by Truist, breach of fiduciary duty and violation of Virginia securities laws with respect to an account held by the claimants at representative’s previous firm.