The following information appeared on FINRA’s website’s ‘Disciplinary Actions, August, 2013.”
Joseph Anthony Carpenter Jr. (CRD #4998111, Registered Representative, Palm Harbor, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Carpenter consented to the described sanction and to the entry of findings that a customer gave Carpenter $5,000 to open and fund a Roth Individual Retirement Account(IRA) at his member firm.
FINRA's findings stated that Carpenter opened the account but failed to fund it. Carpenter improperly kept the funds, converting some for his own purposes, until after the customer complained. The findings also stated that Carpenter reimbursed his member firm, which earlier reimbursed the customer.
(FINRA Case #2011029984102)
According to FINRA's BrokerCheck, Joseph Carpenter was previously registered with FINRA at the following brokerage firms:
WELLS FARGO ADVISORS, LLC
CRD# 19616
CLEARWATER, FL
01/2008 - 11/2011
A. G. EDWARDS & SONS, INC.
CRD# 4
CLEARWATER, FL
03/2006 - 01/2008
MORGAN STANLEY DW INC.
CRD# 7556
PURCHASE, NY
08/2005 - 03/2006
This ends the information obtained on FINRA’s website.
If you’ve experienced investment losses due to your stock broker/financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Soreide Law Group está investigando posibles reclamaciones de inversionistas relacionadas con los bonos de DCM US Multi-Family Homes PLC vendidos o recomendados a través de Andbanc Brokerage LLC, Andbanc Advisory LLC, BCI Securities, Inc., Boreal Capital Securities, LLC (también conocida como Mora Capital Securities). Por otro lado, Mora WM Securities, LLC también estuvo involucrada. Si […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com