Articles Tagged with TradingBlock

Silver Law Group is investigating former TradingBlock (CRD# 128605) broker Joshua D. Arnold (CRD# 828189) for recent allegations of negligence and unsuitable recommendations among others.

According to Arnold’s FINRA BrokerCheck report, Arnold has thirteen (13) disclosures.  His most recent was a FINRA arbitration filed in September 2016, and it alleges negligence, unsuitable recommendations, negligent supervision, breach of fiduciary duty and breach of contract.  The FINRA arbitration alleges $250,000 in damages and is currently pending.

Most notably, Arnold’s BrokerCheck report contains seven (7) settled complaints.  Many of the settled complaints allege unauthorized trading.  Collectively, the seven (7) complaints settled for a total of almost $270,000.