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Joshua Taffer is the Subject of an Investigation by the Mississippi Securities Division

Joshua Taffer (CRD #: 6413955) is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on November 20, 2023. Keep reading if you have questions about his alleged conduct. 

On October 6, 2023, an investor alleged that Joshua Taffer sold a client a fixed annuity without disclosing the surrender charges. The investor further alleged that he electronically signed the client’s name without permission. 

The Mississippi Securities Division and the State’s Mississippi Insurance Department are investigating the same allegations. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Electronically signing signatures and failing to disclose surrender charges also violate this rule. 

Background Information 

Joshua Taffer has passed the following exams: 

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

During his seven years of experience, he has registered with five firms: 

  • AE Financial Services (CRD #: 298608) 
  • APW Capital (CRD #: 43814) 
  • Wells Fargo Clearing Services (CRD #: 19616) 
  • Ameriprise Financial Services (CRD #: 6363) 
  • Edward Jones (CRD #: 250) 

Kurta Law Can Help

If you worked with Joshua Taffer and 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 for 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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