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Joshua Marino Allegedly Failed to Inform Investor About Tax Consequences

Joshua Marino (CRD #: 6141373), a broker registered with Edward Jones, is the subject of an investor dispute, according to his BrokerCheck record, accessed on April 9, 2025. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On February 3, 2025, an investor alleged that Joshua Marino failed to fully inform him of the tax consequences before liquidating the client’s Microsoft stock position. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 prohibits the misrepresentation of investments and omission of material facts. This includes information about an investment’s potential returns, as well as their expenses, risks, and tax repercussions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Joshua Marino has passed the following exams:

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

Joshua Marino is a registered broker in 20 states and a registered investment adviser in New York and Texas.

He has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691) and Morgan Stanley (CRD#:149777).

Kurta Law Can Help

If you worked with Joshua Marino 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. 

 

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