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Joseph Haas Allegedly Failed to Follow Investor Instructions

Joseph Haas (CRD #: 2775312), a broker registered with Osaic Wealth, is the subject of an investor dispute, according to his BrokerCheck record, accessed on December 13, 2023. Investors who have concerns about his conduct as a broker should keep reading. 

On August 29, 2023, one of two account holder Time of Death beneficiaries alleged that Joseph Haas failed to follow instructions to change distribution percentages so as to increase the investor’s share of the proceeds. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions violates this rule. 

Background Information 

Joseph Haas 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 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 24 General Securities Principal Examination 

He is a registered broker in 21 states and is a registered investment adviser in New Jersey and Pennsylvania. 

During his 27 years of experience, he has registered with three firms: 

  • Osaic Wealth (CRD #: 23131) 
  • Signator Investors (CRD #: 468) 
  • John Hancock Mutual Life Insurance Company (CRD #: 5181) 

Kurta Law Can Help 

If you have worked with Joseph Haas and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.