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Investor Alleges Dave Joshi Omitted Facts About Expenses and Fees

Dave Joshi (CRD #: 4390659), a broker registered with Pruco Securities, was involved in a recent investor dispute, according to his BrokerCheck record, accessed on July 6, 2022. If you have questions about Dave Joshi’s conduct as a broker, keep reading.

Investor Dispute

On March 30, 2022, an investor alleged that Dave Joshi failed to fully disclose facts regarding charges, expenses, and fees. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without an external review. Investors can still recoup their losses by pursuing FINRA arbitration following a denial.

FINRA Rule 2020

The omission of information related to investments violates FINRA Rule 2020, which prohibits the use of manipulative devices and deception in the sale of securities. Brokers are also prohibited from omitting material information, including fees. 

Background Information

Dave Joshi has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Dave Joshi is a registered broker in Florida and New Jersey.

He has also worked for MetLife Securities (CRD#:14251) and Metropolitan Life Insurance Company (CRD#:4095).

Kurta Law Can Help

If you worked with Dave Joshi 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 and 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. 

 

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