Simon Joseph Former Truist Broker Accused of Unauthorized Trades

LPL Financial Fined Over Advisor's Fraud

Simon Joseph (CRD# 5602157), a broker registered with Momentum Independent Network, is involved in a dispute he made unauthorized trades, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. This record, accessed on June 22, 2023, notes that the Richmond-based financial professional resigned from Truist Investment Services over alleged misconduct. Complaints Involving Simon Joseph […]

Northstar Investor Files Complaint Involving Truist’s Advisor Steve Berrocal

Businessman employer breaks a contract. Breach of a deal. Termination of cooperation, disagreement to renew extend agreement. Termination of order. Violation of conditions and rules. End cooperation

Steve Berrocal (CRD# 3071400) is involved in pending customer disputes alleging he recommended unsuitable Northstar GIC investments. According to his BrokerCheck report, last accessed on November 22, 2021, Berrocal is a representative of Truist Investment Services and based in Coral Gables, Florida. Complaints: Berrocal’s Recommendations Caused $2 Million in Damages There are four pending complaints […]