(CRD #5602157, Alexandria, Virginia)

August 8, 2025 – An AWC was issued in which Simon Joseph was assessed a deferred fine of $5,000, censured, and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Joseph consented to the sanctions and to the entry of findings that he willfully failed to disclose a Consent Order issued by the Maryland Securities Commissioner of the Maryland Securities Division on several Uniform Application for Securities Industry Registration or Transfer (Form U4) filings submitted to FINRA. The findings stated that the Consent Order against Joseph found that he had engaged in dishonest and unethical practices by, among other things, effecting discretionary transactions in customer accounts without written authorization and by mismarking order tickets. Joseph had notice of the Consent Order when it was issued. However, Joseph did not timely amend his Form U4 to disclose the Consent Order when he was registered at his member firm, nor did he disclose the Consent Order on Form U4 filings submitted through subsequent firms with which he was registered. The suspension is in effect from August 18, 2025, through February 17, 2026. (FINRA Case #2024083025801) If you have suffered losses as a result of Simon Joseph's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Simon Joseph. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.