Joe Hall Faces Allegations of Unsuitable Investment Recommendations
Joe Hall (CRD #: 833873), a broker registered with Cambridge Investment Research in Glendale, California, is facing an investor dispute, according to his BrokerCheck record, accessed on July 12, 2021. This is not his only investor dispute that alleges an unsuitable recommendation.
Unsuitable Investment Broker Disputes
“Unsuitable investments” do not follow the requirements set out by FINRA rules. FINRA requires that brokers consider their investors’ profiles when they recommend securities. This includes information about the investor’s risk tolerance and financial goals.
- On June 28, 2021, an investor alleged that Joe Hall recommended an unsuitable investment and did not inform the client of the risks. They further alleged that Hall failed to conduct his adequate due diligence. The investor is seeking $34,000; the dispute is pending.
- On May 1, 2017, an investor alleged that a security Hall recommended was not suitable for his stated investment goals.
Hall also has a financial disclosure on his record. On December 30, 2020, Joe Hall became the subject of a tax lien for $50,820.14.
Joe Hall Background Information
Joe Hall has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 53 Municipal Securities Principal Examination
- Series 27 Financial Operations Principal Examination
- Series 24 General Securities Principal Examination
- Series 4 Registered Options Principal Examination
He is a registered broker in 9 states and a registered investment adviser in California and Texas.
Joe Hall has worked for the following firms:
- Cambridge Investment Research (CRD #: 39543)
- Cambridge Investment Research Advisors (CRD #: 134139)
- BFC Planning (CRD #: 119682)
- Berthel Fisher & Company Financial Services (CRD #: 13609)
- Hall, Hodges & Associates (CRD #: 120556)
- Linsco/ Private Ledger Corp. (CRD #: 6413)
- Five Star Resources (CRD #: 30414)
- Triple Check Financial Services (CRD #: 13344)
- Griffin Financial Services (CRD #: 10823)
- Charles Schwab & Co. (CRD #: 5393)
- Letterman Transaction Services (CRD #: 6477)
- Thomsan McKinnon Securities (CRD #: 829)
- UMIC (CRD #: 5974)
- Marcus Stowell & Beye (CRD #: 7038)
- Blyth Eastman Dillon & Co. (CRD #: 6361)
Kurta Law Can Help
If you worked with Joe Hall and you have concerns about unsuitable investments, contact Kurta Law today. Call 212-658-1502 or email email@example.com.