RedFlag, Allegation and/or Complaint against JOSEPH WEINBERG
Disclosure #1 for JOSEPH WEINBERG
- Event Date: 9/1/2013
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: COMMONWEALTH OF VIRGINIA
- Allegations: FAILURE TO COMPLY WITH VIRGINIA CONTINUING EDUCATION REQUIREMENTS FOR THE 2011-2012 BIENNIUM.
- Resolution: LETTER OF ADMINISTRATIVE TERMINATION |Sanctions: Revocation
- Sanctions: NONE
- Broker Comment: LICENSE WAS ADMINISTRATIVELY TERMINATED DUE TO FAILURE TO COMPLETE CONTINUING EDUCATION. NOT INVESTMENT RELATED.
Should I file a FINRA complaint against brokers like JOSEPH WEINBERG?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally posted on November 17, 2022 @ 8:52 pm