Joseph Greenberg Allegedly Executed Unauthorized Trades

Joseph Greenberg (CRD #: 1276521), a broker registered with Raymond James Financial Services, allegedly executed unauthorized trades, according to his BrokerCheck record, accessed on October 9, 2022. Investors may have also worked with him through Raymond James Financial Services Advisors. If you want to know more about his conduct as a broker, read on.

Investor Dispute

On July 19, 2022, an investor alleged that Joseph Greenberg executed unauthorized trades. The client sought  $145,383.57 in damages but the dispute was denied by the firm.

However, investors should know that firms don’t need to allow an outside review before denying disputes, and investors can still pursue FINRA arbitration after a denial.

FINRA Rule 3260

FINRA Rule 3260 forbids brokers from conducting discretionary trading outside discretionary accounts that have been pre-approved by their client and firm.

Background Information

Joseph Greenberg has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 26 – Investment Company Products/Variable Contracts Principal Examination
• Series 24 – General Securities Principal Examination

Joseph Greenberg is a registered broker in 33 states and the District of Columbia. He is also a registered investment adviser in Arizona, California, and Texas.

He has also worked for the following firms:

• LPL Financial (CRD#:6413)
• Wells Fargo Investments (CRD#:10582)
• Linsco/Private Ledger Corporation (CRD#:6413)
• Pruco Securities (CRD#:5685)
• Banc of America Investment Services (CRD#:16361)
• BA Investment Services (CRD#:12965)
• ISFA Corporation (CRD#:12984)

Kurta Law Can Help

If you worked with Joseph Greenberg 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.