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Joseph Ford Allegedly Selected Unsuitable Investments for Client

Joseph Ford (CRD #: 6371301), a broker registered with Edward Jones, is involved in a pending dispute, according to his BrokerCheck record, accessed on January 31, 2023. Read on if you want to know more about his alleged conduct as a broker.

Investor Dispute

On November 9, 2022, an investor alleged that Joseph Ford invested his assets in a way unsuitable for the client’s risk tolerance. The client further alleged that $100,000 was held in his account from June 2021 through June 2022, resulting in lost interest. This dispute is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must consider the information described in the investor’s profile, such as their tax status, risk tolerance, and age when recommending investments.

Investors who rely on their broker for recommendations may be able to recoup their losses through FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Joseph Ford has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Joseph Ford is a registered broker in 11 states and a registered investment adviser in Pennsylvania.

Kurta Law Can Help

If you worked with Joseph Ford 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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