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Joshua Scholnick Subject of FINRA Investigation

Joshua Scholnick (CRD #: 7720831), a broker formerly registered with MML Investors Services, has been investigated by FINRA, according to his BrokerCheck record, accessed on December 5, 2024. Read on if you have questions about his alleged conduct as a broker.

FINRA Investigation

On November 14, 2024, FINRA entered a preliminary determination to recommend disciplinary action be brought against Joshua Scholnick, alleging that he possessed prohibited materials and cheated on a qualification examination in violation of FINRA Rules 1210.05 and 2010.

FINRA Rule 1210

FINRA Rule 1210.05 requires individuals taking the Securities Industry Essentials Examination (SIE) to follow the Rules of Conduct, and cannot receive outside assistance during the exam.

FINRA Rule 2010

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

Resignation from MML Investors Services

On February 26, 2024, Joshua Scholnick was permitted to resign from MML Investors Services after the firm allegedly received a notification from FINRA that he may have been in possession of a mobile device during an SIE Exam.

Background Information

Joshua Scholnick has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE

He previously worked for MML Investors Services (CRD#:10409).

Kurta Law Can Help

If you worked with Joshua Scholnick 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.