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Monu Joseph Subject of a FINRA Bar

Monu Joseph (CRD #: 4814346) has been barred by FINRA. This is according to his BrokerCheck record, accessed on March 26, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On December 15, 2023, FINRA alleged that Monu Joseph failed to respond to FINRA requests for information. 

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months are permanently barred.

Background Information 

Monu Joseph has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

During his three years of experience, he has registered with two firms: Rosenblatt Securities (CRD #: 18377) and CIBC World Markets Corp. (CRD #: 630). 

Kurta Law Can Help 

If you have worked with Monu Joseph and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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