Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Joshua Leon Jenkins [CRD: 6061301, Mechanicsburg, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joshua Jenkins worked for Northwestern Mutual Investment Services LLC from January 28, 2013, to December 20, 2023. Keep reading to learn more about the securities broker’s disclosures.
Evidently, a client filed a complaint about Joshua Jenkins. Supposedly, Jenkins misrepresented the liquidity of policy premiums paid and made unsuitable recommendations. Because of this, the client allegedly sustained damages on life insurance products. Therefore, on May 8, 2024, Northwestern Mutual Investment Services LLC settled this matter by compensating the customer.
Particularly, a client of Northwestern Mutual Investment Services LLC contested Joshua Jenkins’s sales practices, according to a complaint dated February 13, 2024. Allegedly, Jenkins made unsuitable recommendations of life insurance products. Therefore, the client sought damages from Northwestern Mutual Investment Services LLC or Jenkins in the amount of $40,000 in this matter. However, the securities firm denied this dispute.
Evidently, a client filed a complaint about Joshua Jenkins. Mainly, the client alleged the failure to take certain actions to resolve the client’s tax issues or concerns. Because of this, the client allegedly sustained damages on mutual funds. For this reason, on April 29, 2024, Northwestern Mutual Investment Services LLC settled this matter by paying the client $7,500 in damages.
Evidently, a client of Northwestern Mutual Investment Services LLC contested Joshua Jenkins’s sales practices, according to a complaint. Allegedly, Jenkins improperly sold variable life insurance policies and assured the client that ongoing premium payments were not needed. As a result, Northwestern Mutual Investment Services LLC opted to settle the matter on December 7, 2023, by compensating the client in the amount of $40,000.
Particularly, on December 1, 2023, a Northwestern Mutual Investment Services LLC client filed FINRA Arbitration No. 23-03385 about Joshua Jenkins. Supposedly, Jenkins breached his fiduciary duty by recommending a variable life insurance policy for retirement savings. Because of this, the client requested $150,000 in compensation from Northwestern Mutual Investment Services LLC or Jenkins. Evidently, this arbitration is pending a resolution.
Additionally, a client of Northwestern Mutual Investment Services LLC contested Joshua Jenkins’s sales practices, according to a complaint dated November 30, 2023. Allegedly, Jenkins made unsuitable recommendations of life insurance products. For this reason, the client sought damages from Northwestern Mutual Investment Services LLC or Jenkins. However, the securities firm denied this dispute.
Also, on November 30, 2023, Northwestern Mutual Investment Services LLC permitted Jenkins to resign. Particularly, Northwestern Mutual Investment Services LLC alleged that Jenkins was permitted to resign while on a special supervision plan. Supposedly, the firm discovered he did not report a client complaint to the firm. Also, the broker reportedly acknowledged violating firm policies relating to electronic communications with clients.
Suffer losses because of Joshua Jenkins? You could contact Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer concerning a possible recovery. Soreide Law Group investment loss lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Jenkins and brokerage firms Jenkins worked for deny accusations of sales practice violations.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]