Joseph Ganun Allegedly Misrepresented Investments
Joseph Ganun (CRD #: 2358305), a broker registered with Morgan Stanley, allegedly made misrepresentations to a client, according to his BrokerCheck record, accessed on January 26, 2023. Read on if you have questions about his alleged conduct as a broker.
Investor Dispute
On November 17, 2022, an investor alleged that Joseph Ganun misrepresented certain investments he recommended in 2021 to use funds the clients had earmarked for a home purchase. This dispute is currently pending.
FINRA Rule 2020
FINRA Rule 2020 bans the use of deceptive, manipulative, and other fraudulent means of influencing the purchase or sale of securities. Misrepresenting an investment’s limitations, requirements, or other features violates this rule.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 may also violate FINRA Rule 2010.
Background Information
Joseph Ganun has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 3 – National Commodity Futures Examination
- Series 7 – General Securities Representative Examination
- Series 9 – General Securities Sales Supervisor – Options Module Examination
- Series 10 – General Securities Sales Supervisor – General Module Examination
Joseph Ganun is a registered broker in 21 states and the District of Columbia. He is also a registered investment adviser in New Jersey and Texas.
He has also worked for the following firms:
- Morgan Stanley & Company (CRD#:8209)
- Morgan Stanley (CRD#:7556)
- Oppenheimer & Company (CRD#:249)
- CIBC World Markets Corporation (CRD#:630)
- Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
- Waterhouse Securities (CRD#:7870)
- Thomas James Associates (CRD#:15609)
- Hibbard Brown & Company (CRD#:18246)
- Westfield Financial Corporation (CRD#:8143)
Kurta Law Can Help
If you worked with Joseph Ganun 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.