Joshua Aaron Green of New Port Richey, Florida, a stockbroker associated with Cetera Investment Services LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $450,000.00 in damages based upon allegations that Green overconcentrated the customer in structured notes, which resulted in losses. FINRA Arbitration No. 22-01322 (April 6, 2023).
This is not the first time that Green has been referenced in a customer initiated investment related dispute concerning Green’s conduct in the securities industry. FINRA Public Disclosure shows that Green was also referenced in a customer initiated investment related complaint filed on March 22, 2022, in which the customer requested compensatory damages, believed to be greater than $5,000, based upon allegations that Green misrepresented the performance of an income note. The complaint was denied on April 7, 2022.
Green has been associated with Cetera Investment Services LLC in New Port Richey, Florida since September 7, 2017. He has also been associated with Cetera Investment Advisers LLC in New Port Richey, Florida since September 14, 2017.
