Last Updated: January 2024 (Dallas, TX & Edmond, OK)
Joseph Hobbs Investigation Summary
Here’s what you need to know about Dallas, TX/ Edmond, OK, stockbroker Joey Hobbs:
- Name: Mr. Joseph Gregory Hobbs
- Current Employer: Cetera Advisor Networks, Cetera Investment Advisers (RIA)
- DBA: Financial Vision Consulting
- Previous Firms: LPL Financial, Bok Financial Securities, Cetera Investment Services
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Joey Hobbs
- Primary Location: Dallas, TX & Edmond, OK
- CRD 5092184
- Can Joey Hobbs be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discloses Bankruptcy Filing: Yes
- Pending Customer Dispute Seeks Damages of $235,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joseph Hobbs As Your Stockbroker?
In 12/2023 a customer of LPL Financial filed a case alleging that Joey Hobbs failed to follow the customer’s instruction and purchased a different product ( structured product) than requested during the 2/2021-12/2023 time period. Damages of $235,000 are sought in this pending matter.
Joey Hobbs discloses the filing of a Chapter 7 Bankruptcy 11/2024 in Federal Court for the Western District of Oklahoma.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer. FINRA Rule 2111- suitability
Allegations of Broker Misconduct Against Joseph Hobbs
A customer of Joey Hobbs has alleged the following wrongdoing in connection with the handling of customer accounts:
- Failure to follow customer’s instructions
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Joey Hobbs, 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.
