Last Updated: March 2024 (Vernal, Utah)
Joshua Cook Investigation Summary
Here’s what you need to know about Vernal, UT, stockbroker Joshua Cook:
- Name: Mr. Joshua R. Cook
- Current Employer: Suspended by FINRA for ten months, Cook Financial (RIA)
- Previous Firms: Cetera Advisor Network
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Joshua Cook
- Primary Location: Vernal, UT
- CRD 4277525
- Can Joshua Cook be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discharged by a prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joshua Cook As Your Stockbroker?
Joshua Cook was suspended by FINRA for 10 months and fined $7,500 to resolve allegations that from 11/1/2019-4/23/2021 he forged the names of at least 160 customer on 373 account documents without the customer’s prior permission in violation of FINRA Rules 2010 and 4511. Forging these signatures caused LPL Financial to maintain inaccurate books and records.
LPL Financial discharged Cook in 4/2022 for electronically signing account documents on behalf of customers.
[LEARN MORE]: Investigation of LPL Financial and LPL Brokers
Allegations of Broker Misconduct Against Joshua Cook
Regulators have alleged the following wrongdoing in connection with the handling of customer accounts:
- Forging customer signatures
[LEARN MORE]: Investigations involving forgery by financial advisors
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 Joshua Cook, 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.
