Joshua Cook is the Subject of a FINRA Suspension

Joshua Cook (CRD #: 4277525) has been suspended by LPL Financial. This is according to his BrokerCheck record, accessed on June 3, 2024. Keep reading if you have questions concerning his alleged conduct. 

Regulatory Actions 

On March 4, 2024, Joshua Cook allegedly consented to the sanctions and to the entry of findings that he electronically signed the names of customers, some of whom were seniors, on account documents without the customers’ prior permission. The findings stated that the account documents included new account applications, money transfer forms, and IRA contribution and distribution forms. FINRA alleges that Joshua Cook caused his firm to maintain inaccurate books and records. 

As part of the terms of the AWC, Joshua Cook consented to a 10-month suspension and a $7,500 fine. You can read a copy of the AWC here. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.

High Standards of Commercial Honor 

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

Background Information 

Joshua Cook 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

During his 19 years of experience, Joshua Cook has registered with three firms: 

• LPL Financial (CRD #: 6413) 
• Cetera Advisor Networks (CRD #: 13572) 
• Zions Direct (CRD #: 17776) 

Kurta Law Can Help 

If you have worked with Joshua Cook and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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.