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Investor Alleges Joseph Strotman Failed to Follow Instructions

Joseph Strotman (CRD #: 7358078), a broker registered with Edward Jones, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on February 7, 2023. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

On October 3, 2022, an investor alleged that Joseph Strotman failed to follow instructions regarding certain types of investment and his risk tolerance, resulting in market loss. The firm denied this dispute.

However, investors should know that firms can deny disputes without an outside review. Investors may be able to recover their funds by seeking out FINRA arbitration after a denial.

FINRA Rule 2010

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

Background Information

Joseph Strotman has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

Joseph Strotman is a registered broker in 19 states and a registered investment adviser in New York, Pennsylvania, and Texas.

Kurta Law Can Help

If you worked with Joseph Strotman 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. 

 

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