The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Joseph John Antosh Jr. (CRD #713649, Registered Representative, Brookfield, Connecticut)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joseph Antosh consented to the described sanction and to the entry of findings that he failed to provide on-the-record testimony as FINRA requested in connection with an investigation of, among other things, whether Joseph Antosh improperly changed the beneficiary of an elderly customer’s individual retirement account (IRA) from the customer’s son to Joseph Antosh’s daughter.
FINRA's findings stated that, through his counsel, Antosh informed FINRA that he did not intend to provide testimony to FINRA.
(FINRA Case #2011028161601)
FINRA's BrokerCheck states that Joseph John Antosh, Jr., was previously registered with FINRA at the following brokerage firms:
WELLS FARGO ADVISORS, LLC
CRD# 19616
DANBURY, CT
07/2003 - 06/2011
PRUDENTIAL SECURITIES INCORPORATED
CRD# 7471
NEW YORK, NY
08/1980 - 07/2003
This ends the information obtained on FINRA’s website.
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