Securities Lawyers Blog
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Joshua Arnold (Arnold) currently registered with TradingBlock, alleging negligence, unsuitable recommendations, negligent supervision, breach of fiduciary duty, and breach of contract among other claims. According to brokercheck records Arnold has been subject to ten customer complaints and three regulatory actions.
In September 2016 a customer filed a complaint alleging negligence and unsuitable recommendations that caused $250,000 in damages. The broker denied all claims. The claim is current pending.
In November 2015 another customer filed a complaint that Arnold failed to handle the account properly causing a tax penalty. The claim was resolved for $37,500.