Joseph Wesley Fined by Indiana Securities Division
Joseph Wesley (CRD #2351330), a broker and investment advisor registered with Thurston Springer, is the subject of a regulatory action, according to his BrokerCheck Record accessed on November 17, 2021.
On September 2, 2021, the Indiana Securities Division fined Joseph Wesley for allegedly borrowing money from a client without adhering to FINRA Rules or Sanctuary Securities’ internal policies and procedures. According to FINRA Rule 3240, investors may not borrow money from investors unless they follow their firm’s written procedures. In addition to FINRA regulations, investors must abide by state regulations as well. Indiana fined Joseph Wesley $4,500.
Joseph Wesley has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
- Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)
He is a registered broker in 13 states and is a registered investment advisor in Indiana.
Besides Thurston Springer, Joseph Wesley has worked with the following firms.
- Noyes Advisors (CRD#:226606)
- David A. Noyes & Company (CRD#:205)
- Wells Fargo Advisors Financial Network (CRD#:11025)
- Wells Fargo Advisors (CRD#:19616)
- A. G. Edwards & Sons (CRD#:4)
- Robert W. Baird & Co. Incorporated (CRD#:8158)
- Natcity Investments (CRD#:17490)5
- Raffensperger, Hughes & Co (CRD#:699)
Kurta Law Can Help
If you have suffered losses after working with Joseph Wesley, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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