Before joining the firm, Joseph served as senior vice president and senior litigation counsel for Wachovia Securities, LLC, now known as Wells Fargo Advisors, LLC, where he supervised the firm’s major litigations and arbitrations. Previously, he served as the senior vice president and director of compliance for TD Waterhouse Group, Inc. and the divisional compliance director at Salomon Smith Barney, Inc. where he was also the director of International Private Client Group Compliance.
•Retail brokerage compliance
•Securities arbitration and mediation
Recognition & Leadership
Awards & Accolades
•Recipient, Volunteer of the Year, Wachovia Corp., 2008
(Also at White Plains, NY and Fort Lauderdale, FL Office)
Professional & Community Involvement
•Board President, National Lesbian, Gay, Bisexual and Transgender Bar Foundation, Board of Directors
•Mediator/Arbitrator, Financial Industry Regulatory Authority (FINRA)
•Member, Securities Industry and Financial Markets Association (SIFMA)
•Member, LGBT Bar Association of Greater New York
•Board Member, Cortland College Foundation, Board of Directors
•Member, Broward County Bar Association
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