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Joseph Randolph Involved in an Investor Dispute Regarding a Beneficiary Designation

Joseph Randolph (CRD #: 4417809), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This disclosure appears in his BrokerCheck record, accessed on August 18, 2023. 

On June 20, 2023, an investor alleged that Joseph Randolph did not give correct instructions for a beneficiary designation regarding the transfer-on-death beneficiary form, thus causing improper withdrawals and/or transfer of monies from the client’s accounts. The investor further alleged that Joseph Randolph had planned to file a form to correct the designation post-death. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. 

Background Information 

Joseph Randolph has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

He is registered in 18 states and D.C. He is also a registered investment adviser in Kentucky, Ohio, and West Virginia. 

Joseph Randolph has registered with the following firms: 

  • Fifth Third Securities (CRD #: 628) 
  • The Huntington Investment Company (CRD #: 16986) 
  • Wells Fargo Advisors (CRD #: 19616) 
  • A.G. Edwards & Sons (CRD #: 4) 
  • Ferris, Baker Watts Incorporated (CRD #: 285) 

Kurta Law Can Help

If you worked with Joseph Randolph and you have concerns about your investments, please contact us today at 877-600-0098 or 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 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.