Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Timmerman (Timmerman), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Timmerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 24, 2024.
Respondent stipulated and agreed with the State of New York’s finding that he provided materially incomplete information within the meaning of Section 2110(a)(2) of the Insurance Law, on his original application to act as an agent pursuant to Section 2103(a) of the Insurance Law, submitted to the Department on or about December 11, 2013, for failing to disclose misdemeanor convictions from 1999.
