Joseph Brandon Westphal (CRD #4769381, Tampa, Florida)
was barred by FINRA for failure to respond to FINRA requests to provide documents and information.
FINRA's findings stated that FINRA was investigating allegations by Joseph Westphal’s previous member firm that he opened multiple accounts without approval, had stolen funds, and had committed serious ethical violations.
(FINRA Case #2011030166801)
Joseph Brandon Westphal was registered in the securities industry for 7 years and was previously registered with the following securities firm(s):
09/2011 - 11/2011 INVEST FINANCIAL CORPORATION (CRD# 12984) - TAMPA, FL
06/2007 - 09/2011 J.W. COLE FINANCIAL, INC. (CRD# 124583) - TAMPA, FL
06/2006 - 06/2007 E*TRADE SECURITIES LLC (CRD# 29106) - TAMPA, FL
01/2006 - 03/2006 CHARLES SCHWAB & CO., INC. (CRD# 5393) - FISHERS (INDIANAPOLIS), IN
01/2005 - 12/2005 SCUDDER DISTRIBUTORS, INC. (CRD# 37306) - CHICAGO, IL
05/2004 - 12/2004 THRIVENT INVESTMENT MANAGEMENT INC. (CRD# 18387) - MINNEAPOLIS, MN
This summation of information from FINRA's Website under "Disciplinary and Other Actions, January, 2015" ends here.
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