CHRISTOPHER JOSEPH of Royal Alliance SUSPENDED by FINRA

Israels & Neuman, PLC

TOLEDO, OHIO

Have you lost money with financial advisor Christopher Joseph, formerly with Royal Alliance Associates in Toledo, Ohio? Our securities and investment fraud firm is reviewing allegations made by FINRA against Christopher T. Joseph. FINRA began investigating Joseph regarding allegations that he sold $462,500 in convertible notes in a mobile application run by Joseph and his wife. The investors were alleged to be friends and family of Joseph. To settle these allegations, Joseph agreed to a six-month suspension from the securities industry and a $10,000 fine.

Christopher Joseph was with Royal Alliance Associates from November 2018 to January 2020. He has worked at branch offices in Toledo, Ohio. Joseph was also “permitted to resign” by Royal Alliance Associates regarding these allegations.

Brokerage firms like Royal Alliance Associates have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Ann Arbor, Michigan; Denver, Colorado; Seattle, Washington; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio (such as investors who lost money with Toledo advisors Gary Rathbun and Douglas Miller). Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance Associates.

Click to view: Joseph, Christopher FINRA AWC

Click to view: Joseph, Christopher BrokerCheck 1.13.22

If you lost money with Christopher Joseph or Royal Alliance Associates, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

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