Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former California-based RBC Capital Markets broker/adviser Joseph Garshman, who has received customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Garshman (CRD# 2001729).
Joseph Garshman has spent 27 years in the securities industry and was most recently registered with RBC Capital Markets in San Francisco, California (2015-2017). Previous registrations include Wells Fargo Advisors in Santa Rosa, California (2011-2015); Wells Fargo Investments in Santa Rosa, California (2001-2011); Wells Fargo Securities in San Francisco, California (1994-2001); and Fortis Investors in Oakdale, Minnesota (1989-1993). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 16, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 22, 1991; Series 7 (General Securities Representative Examination), which he obtained on June 17, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 23, 1989; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on October 18, 1991. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and was discharged from his former employer in connection to alleged rule violations.
In December 2017 he was terminated from his position at RBC Capital Markets following allegations he violated firm policies regarding the use of discretion in customer accounts.
In 2016 a customer alleged Joseph Garshman, while employed at Wells Fargo Advisors, misrepresented an unsuitable investment as low-risk. The complaint settled for more than $32,700.
In 2003 a customer alleged Joseph Garshman, while employed at Wells Fargo Advisors, misrepresented material facts related to an investment in variable annuities. The complaint settled for more than $1,600.
In 2003 a customer alleged Joseph Garshman, while employed at Wells Fargo Advisors, made misrepresentations of material facts. The complaint settled for $2,250.
If you or someone you know has complaints regarding Joseph Garshman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.