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Joshua Arnold: Attorney Investigation

Joshua ArnoldPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 15, 2016 indicate that Minnesota-based broker/adviser Joshua Arnold has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arnold (CRD# 828189).

Joshua Arnold has spent 39 years in the securities industry and has been registered with TradingBlock in Edina, Minnesota since 2012. Previous registrations include BrokersXpress in Edina, Minnesota; Emmett A. Larkin & Company in Edina, Minnesota; Sunpoint Securities in Longview, Texas; RJ Steichen & Company in Minneapolis, Minnesota; Linsco/Private Ledger in Boston, Massachusetts; and First Investors Corporation. He is a registered broker and investment adviser with fourteen US states and territories: Arizona, California, Colorado, Florida, Illinois, Indiana, Iowa, Minnesota, Nevada, New York, Ohio, South Dakota, Texas, and Wisconsin.

According to his BrokerCheck report, Joshua Arnold has received seven customer complaints and one pending customer complaint.

In November 2010 a customer alleged Joshua Arnold, while employed at AOS Inc., did not properly handle the account. The customer is seeking unspecified damages in the pending complaint.

In 2010 a customer alleged Joshua Arnold, while employed at BrokersXpress, “charged her more fees than were discussed.” The complaint settled for $10,000.

In 2004 a customer alleged Joshua Arnold, while employed at Emmett A. Larkin & Company, engaged in excessive unauthorized trading. The complaint settled for $169,000.

In 2001 a customer alleged Joshua Arnold, while employed at Emmett A. Larkin & Company, mismanaged her account. The complaint settled in 2002 for $9,000.

In 2000 the National Association of Securities Dealers sanctioned Joshua Arnold following allegations he recommended investments without reasonable basis to believe they were suitable for the customer. He was issued a $7,500 fine and a 30-day suspension from associating with any NASD member in a principal capacity.

In 1998 a customer alleged Joshua Arnold, while employed at Linsco/Private Ledger, made unauthorized trades. The complaint settled for $10,000.

In 1998 a customer alleged Joshua Arnold, while employed at Linsco/Private Ledger, made unauthorized trades. The complaint settled for $10,000.

In 1998 a customer alleged Joshua Arnold, while employed at Linsco/Private Ledger, made unsuitable and unauthorized trades. The complaint settled for $10,000.

In 1997 a customer alleged Joshua Arnold, while employed at Linsco/Private Ledger, made unsuitable, excessive and unauthorized trades. The complaint settled for $10,000.

If you have lost money investing with Joshua Arnold, you may be entitled to recover lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you recover money. By law you may have a limited time to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.