JOSHUA MATTHEW BROMBERG is currently employed as a Broker and/or Investment Adviser at KESTRA INVESTMENT SERVICES, LLC located at 1840 Merrick Ave., Merrick, NY, 11566.
JOSHUA MATTHEW BROMBERG has worked at KESTRA INVESTMENT SERVICES, LLC since February 21, 2018
Disclosure History
JOSHUA MATTHEW BROMBERG has 1 Disclosure Event(s).
Date: December 18, 2010 Category: Employment Separation After Allegations Firm Name: CITIGROUP GLOBAL MARKETS INC. Termination Type: Discharged Allegations: EMPLOYEE VIOLATED CITI POLICIES AND PROCEDURES BY FAILING TO TIMELY RECONCILE UNKNOWN DIVIDEND PAYMENTS, AND BY ASSIGNING FUTURE PAYABLE DATES TO THOSE PAYMENTS IN ORDER TO PREVENT THEM FROM APPEARING ON DAILY AGED ITEM REPORTS. Broker Comment: I was working in the International Prime Brokerage department. We took over this process from the group based out of London. I was doing this for about 3 years the same process. Nothing had changed over that time. Management was aware of all policies and procedures and they learned the process at the same time I did. In September of 2010 they came to me saying that I had been making all the journals wrong. The journals did not affect and clients they were all internal payables and receivables. But I had been doing the same procedures the same way I learned from the London team for 3 years. If there is any more info you need please don't hesitate to reach out any time.
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