April 2017, Little Rock, AR
According to publicly available records Joshua E. Danforth, (CRD# 4884480 ), a stockbroker who is currently registered with Austin, Texas based Kestra Investment Services discloses an employment separation after allegations.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Danforth was discharged from Merrill Lynch, Pierce, Fenner & Smith, Incorporated in May 2016 who made the following allegation in connection therewith: “conduct including alteration of client documents”.
Danforth has been employed by Kestra since 7/2016. He was employed by Merrill Lynch from 5/2005-6/2016.
If you have losses in an account handled by Joshua E. Danforth, contact us to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900