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Joseph Natoli Facing a Regulatory Action in New York

Joseph Natoli (CRD #: 5818236), a broker registered with Park Avenue Securities, is the the subject of a regulatory action in New York. This regulatory action appears on his BrokerCheck record, accessed on February 16, 2024. Details concerning this regulatory action are provided below. 

New York State Allegations 

On October 26, 2023, the New York State Department of Financial Services alleged that Joseph Natoli admitted he provided materially incorrect and untrue information in three original life insurance applications that he submitted to the Department on or about June 2010, March 2022, and January 2023. He allegedly failed to disclose that he was convicted of a misdemeanor in South Carolina. 

New York fined Joseph Natoli $2,250.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Providing materially incorrect information would violate this rule. 

Background Information 

Joseph Natoli has passed the following exams: 

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

He is a registered broker in six states and is a registered investment adviser in four states. 

During his 12 years of experience, he has registered with three firms: 

  • Park Avenue Securities (CRD #: 46173) 
  • MML Investors Services (CRD #: 10409) 
  • NYLife Securities (CRD #: 5167) 

Kurta Law Can Help 

If you have worked with Joseph Natoli 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.