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Joseph Hanna Allegedly Engaged in Negligence

Joseph Hanna (CRD #: 1667471), a broker registered with Stifel, Nicolaus & Company, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 9, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute 

On July 15, 2024, an investor alleged that Joseph Hanna engaged in negligence. The investor alleged that in a few instances, he recommended that the investor purchase the same stock the registered representative had purchased for himself earlier that same day. 

The firm denied the dispute, but investors should know that firms can deny disputes without any external review. Investors can still recover funds following a denial.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Making recommendations based on a possible conflict of interest may violate this rule. 

Background Information 

Joseph Hanna 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 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination  
  • Series 24 General Securities Representative Examination 

Kurta Law Can Help 

If you worked with Joseph Hanna and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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.

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