Joyce Thomas Involved in Allegations of Risky Investment Recommendations
Joyce Thomas (CRD #: 2713664), a broker registered with Independent Financial Group, is involved in an investor dispute, according to her BrokerCheck record, accessed on July 16, 2021. Details about the dispute are provided below.
On July 14, 2021, investors alleged that Joyce Thomas invested their portfolios in risky, alternative investments that she represented as safe. They further alleged that Thomas guaranteed the investments would generate an income stream as well as a profit once the company went public. The dispute is pending.
There are similar allegations from just one month prior. On June 16, 2021, an investor alleged that Thomas recommended unsuitable investments.
On October 8, 2015, Joyce Thomas was permitted to resign from her position at Voya Financial Advisors. According to the firm’s allegations, Thomas violated firm policy regarding the use of an unregistered email while on heightened supervision.
Joyce Thomas Background Information
Thomas has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
- Series 24 General Securities Principal Examination
- Series 26 Investment Company Products/ Variable Contracts Principal Examination
She is a registered broker in 30 states and a registered investment adviser in California, Louisiana, and Texas.
Thomas has worked with the following firms:
- Independent Financial Group (CRD #: 7717)
- Voya Financial Advisors (CRD #: 2882)
- Legacy Financial Services (CRD #: 38697)
- WMA Securities (CRD #: 32625)
Kurta Law Can Help
If you worked with Joyce Thomas and you have concerns about risky investments, contact Kurta Law today. Call 212-658-1502 or email firstname.lastname@example.org.