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Joseph Maukonen Allegedly Failed to Follow Client’s Investment Instructions

Joseph Maukonen (CRD #: 6356473), a broker registered with Park Avenue Securities, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on July 13, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On June 21, 2023, an investor alleged that Joseph Maukonen failed to follow instructions to invest funds in the client’s IRA account in October 2022. This dispute is currently pending.

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 may violate this rule. 

Background Information

Joseph Maukonen 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

Joseph Maukonen is a registered broker and a registered investment adviser in Florida and Ohio.

He has also worked for the following firms:

  • Edward Jones (CRD#:250)
  • Scottrade Investment Management (CRD#:169988)
  • Scottrade (CRD#:8206)

Kurta Law Can Help

If you worked with Joseph Maukonen 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.