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Joshua Plank Faced Allegations that He Recommended Risky Products

Aug 4, 2021 Investor Disputes

Joshua Plank (CRD #: 3262187), a broker registered with MML Investors Services, was involved in an investor dispute, according to his BrokerCheck record, accessed on July 23, 2021. Plank may also have offered advisory services through Westpoint Financial Group.

On June 7, 2021, an investor alleged that Joshua Plank invested her portfolio in risky, leveraged positions. She further alleged that he sold her a life insurance policy that is unsuitable. According to the investor, Plank misled her so that he could earn commissions on risky products. The investor was seeking $100,000 but the dispute was denied. “Denials” simply indicate that the firm denies their representative engaged in misconduct. Investors can still recover their losses following a denial.

On March 30, 2020, an investor alleged that Joshua Plank recommended unsuitable investments. The investor sought $120,000; the dispute settled for $37,500.

Joshua Plank Background Information

Plank has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 24 General Securities Principal Examination

He is a registered broker in 19 states and is a registered investment adviser in Indiana and Texas.

Plank has worked for the following firms:

  • MML Investors Services (CRD #: 10409)
  • Securian Financial Services (CRD #: 15296)

Kurta Law Can Help

If you worked with Joshua Plank and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email