Last Updated: June 2024 (Covina, CA)
Joel Daniel Harworth Investigation Summary
Here’s what you need to know about Covina, CA stockbroker Joel Daniel Harworth:
- Name: Joel Daniel Harworth
- Current Employer: Centaurus Financial, Inc.
- Prior Employer: Wescom Financial Services
- DBA: Connect Tax and Wealth Management
- Function: Stockbroker / Financial Advisor
- Primary Location: Covina, CA
- CRD Number: 3131373
- Can Joel Daniel Harworth be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
- Pending Customer Dispute Seeks Damages of: $93,000
If you’ve sustained damages from Mr. Harworth, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joel Daniel Harworth As Your Stockbroker?
A customer of Centaurus Financial, Inc. has filed a FINRA arbitration seeking damages of $93,000. The customer alleges that Joel Harworth recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty. FINRA case number 24-00678. This matter is pending.
[LEARN MORE]: See this for more information on REITs and Other Alternative Investments
Allegations of Broker Misconduct Against Joel Daniel Harworth
Allegations
Customers of Joel Daniel Harworth have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable recommendations
- Breach of fiduciary duty
- High-risk, illiquid investments
Joel Harworth was discharged from Wescom Financial Service on May 11, 2015, due to being a power of attorney (POA) on a client account and issues related to the handling of advisory accounts.
Brokers and their firms have a duty to comply with FINRA rules, including the suitability rule (FINRA Rule 2111), which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer. Allegations such as unsuitable recommendations and breach of fiduciary duty suggest potential violations of these obligations.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Other investigations of Centaurus Financial brokers
If you have suffered investment losses in an account handled by Joel Daniel Harworth, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.