JOSEPH NORTON WALSH is currently employed as a Broker and/or Investment Adviser at AMHERST PIERPONT located at 245 PARK AVENUE, 15TH FLOOR, NEW YORK, NY, 10167.
JOSEPH NORTON WALSH has worked at AMHERST PIERPONT since October 14, 2014
Disclosure History
JOSEPH NORTON WALSH has 4 Disclosure Event(s).
Date: September 02, 2011 Category: Customer Dispute Allegations: "THE FEDERAL HOUSING FINANCE AGENCY (FHFA), AS CONSERVATOR FOR THE FEDERAL HOME LOAN MORTGAGE CORPORATION ("FHLMC") AND THE FEDERAL NATIONAL MORTGAGE ASSOCIATION ("FNMA"), ASSERTS VARIOUS CLAIMS UNDER STATE AND FEDERAL SECURITIES LAWS AND COMMON LAW CLAIMS IN CONNECTION WITH THE PURCHASE OF PRIVATE LABEL MORTGAGE-BACKED SECURITIES BY THE FHLMC AND FNMA. THE INDIVIDUAL WAS NAMED BECAUSE, ACCORDING TO THE COMPLAINT, HE WAS AN OFFICER AND/OR DIRECTOR OF A RELEVANT ENTITY AND WAS A SIGNATORY TO THE REGISTRATION STATEMENT". Damage Amount Requested: $5,000.00 Settlement Amount: $550,000,000,000.00
Date: March 28, 2011 Category: Customer Dispute Allegations: THE PLAINTIFF ALLEGES THAT RBS FINANCIAL PRODUCTS (ALONG WITH CERTAIN OTHER NAMED DEFENDENTS) OFFERED AND SOLD CERTIFICATES BY MEANS OF FALSE AND MISLEADING STATEMENTS OF MATERIAL FACT AND OMMISSIONS OF MATERIAL FACTS NECESSARY TO MAKE THE STATEMENT NOT MISLEADING Damage Amount Requested: $5,000.00 Settlement Amount: $15,000.00 Broker Comment: JOSEPH WALSH IS NAMED BECAUSE, ACCORDING TO THE COMPLAINT, HE WAS AN OFFICER AND DIRECTOR OF ONE OR MORE PRIMARY VIOLATORS AND CONTROLLED THEIR OPERATIONS.THIS CASE WAS DISMISSED WITH PREJUDICE ON 8/15/2016. THE DOLLAR AMOUNT OF THE SETTLEMENT IS CONFIDENTIAL, HOWEVER IT WAS SETTLED FOR MORE THAN $15,000. AS A RESULT OF THE SETTLEMENT, THE CASE AS TO JOSEPH N. WALSH III WAS ENDED.
Date: March 12, 2009 Category: Customer Dispute Allegations: THE PURCHASERS OF CERTAIN MORTGAGE-BACKED SECURITIES HAVE BROUGHT CLAIMS THAT ARISE UNDER SECTIONS 11, 12(A)(2) AND 15 OF THE SECURITIES ACT. Damage Amount Requested: $5,000.00 Settlement Amount: $11,250,000.00 Broker Comment: JOSEPH WALSH WAS NAMED BECAUSE, ACCORDING TO THE COMPLAINT, HE WAS A DIRECTOR OF ONE OFF THE ISSUING ENTITIES. JOSEPH WALSH WAS NOT REQUIRED TO CONTRIBUTE TO THE SETTLEMENT AMOUNT.
Date: May 14, 2008 Category: Customer Dispute Allegations: THE PLAINTIFF ALLEGES THAT THE ROYAL BANK OF SCOTLAND (ALONG WITH CERTAIN OTHER NAMED DEFENDENTS) WHO ALLEGEDLY UNDERWROTE CERTAIN MORTGAGE BACKED SECURITIES SOLD TO PLAINTIFF IN PUBLIC OFFERINGS, FAILED TO DO PROPER DUE DILIGENCE REGARDING THE SECURITIES WHICH WERE COLLATERALIZED BY MORTGAGE LOANS. THE PLAINTIFF ALSO ASSERTS THAT THE DEFENDANT RATING AGENCIES DID NOT DO PROPER DUE DILIGENCE EITHER. Damage Amount Requested: $5,000.00 Settlement Amount: $275,000,000.00 Broker Comment: JOSEPH WALSH WAS NAMED BECAUSE, ACCORDING TO THE COMPLAINT, HE WAS A DIRECTOR OF ONE OF THE ISSUING ENTITIES. AS A RESULT OF THE SETTLEMENT, THE CASE AS TO JOSEPH N. WALSH II WAS ENDED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JOSEPH NORTON WALSH, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.