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Joseph Krueger Has Been Named in a Pending FINRA Investigation

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Joseph Krueger

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that Ohio-based Robert W. Baird & Company broker/adviser Joseph Krueger was terminated from a former employer in connection to alleged rule violations and has been named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Krueger (CRD# 4229727).

Joseph Krueger has spent 17 years in the securities industry and has been registered with Robert W. Baird & Company in Cleveland, Ohio since 2015. Previous registrations include Stifel Nicolaus & Company in Westlake, Ohio (2001-2015) and UBS Painwebber in Weehawken, New Jersey (2000-2001). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 29, 2000, and Series 7 (General Securities Representative Examination), which he obtained on September 11, 2000. He is a registered broker and investment adviser with 18 US states and territories: Alaska, Arizona, California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, Missouri, New York, North Carolina, Ohio, South Carolina, Virginia, Washington and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Joseph Krueger has been named in a pending FINRA investigation and was discharged from a former employer in connection to alleged rule violations.

In July 2017 he was named in a FINRA investigation into allegations that, while employed at his prior member firm, he engaged in private securities transactions without providing proper prior written notice to his employer. The investigation remains pending.

In 2015 Joseph Krueger was terminated from his position at Stifel Nicolaus & Company following allegations he participated in private securities transactions with customers of his member firm.

If you have lost money investing with Joseph Krueger, you may be able to recover your losses. Call 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 collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.