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Joshua Eisenberg Allegedly Failed to Follow Instructions

Joshua Eisenberg (CRD #: 5137724), a broker registered with Northwestern Mutual Investment Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on February 2, 2024. Keep reading if you have questions.

On October 13, 2023, an investor alleged that Joshua Eisenberg failed to follow their instructions to invest in low-risk investments. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration. 

The investor sought $155,051.59. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information 

Joshua Eisenberg has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 23 states and is a registered investment adviser in Florida. 

Joshua Eisenberg has registered with the following firms: 

  • Northwestern Mutual Investment Services (CRD #: 2881) 
  • Amerivest Investment Management (CRD #: 111514) 
  • TD Ameritrade (CRD #: 7870)
  • TD Ameritrade Clearing (CRD #: 5633) 

Kurta Law Can Help 

If you have worked with Joshua Eisenberg and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.

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