Joseph Tartaglini is the Subject of a Six-Figure Dispute

Joseph Tartaglini (CRD #: 4963465), a broker registered with JP Morgan Securities, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 23, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On August 27, 2025, an investor alleged that Joseph Tartaglini offered poor advice regarding a mutual fund investment. The investor sought $425,000, but the dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without any external review, and investors can still recover following a denial.

Mutual Funds 

A mutual fund is a portfolio of investments that allows investors to pool their wealth. They can be passively or actively managed. Brokers may earn a large commission from these funds, making them frequent objects of fraudulent trading practices. Investors should also note that brokers are required to notify their investors if they are entitled to breakpoint discounts when they purchase shares of a mutual fund. Failure to do so could be grounds for an investor dispute and FINRA arbitration.

Background Information

Joseph Tartaglini 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 7 General Securities Representative Examination 
• Series 6 Investment Company Products/ Variable Contracts Representative Examination 
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination

He is a registered broker in 23 states and is a registered investment adviser in California, Nevada, and Texas.

Joseph Tartaglini has registered with the following firms:

• JP Morgan Securities (CRD #: 79)
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
• First Allied Securities (CRD #: 32444)
• Financial Network Investment Corporation
• National Planning Corporation (CRD #: 29604)

Kurta Law Can Help

If you worked with Joseph Tartaglini 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 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.