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Investor Alleges Walter Josiah Failed to Follow Instructions

Jan 18, 2023 Investor Disputes

Walter Josiah (CRD #: 2635170), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on January 10, 2023. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On October 11, 2022, an investor alleged that Walter Josiah failed to follow instructions between May 12 and October 11, 2022. This dispute was denied by the firm.

Investors should be aware, however, that firms don’t need to allow an outside review before denying a dispute. Investors can still pursue FINRA arbitration and may be able to recover their losses after a denial.

FINRA Rule 2010

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

Background Information

Walter Josiah has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 3 – National Commodity Futures Examination
  • Series 27 – Financial and Operations Principal Examination
  • Series 24 – General Securities Principal Examination

Walter Josiah is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in Connecticut, New York, and Texas.

He has also worked for Pinebridge Securities (CRD#:5967).

Kurta Law Can Help

If you worked with Walter Josiah and you have concerns about your investments, please contact us today at 877-600-0098 or 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 and 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.