Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Moses (Moses), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moses recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 18, 2023.
Customer alleges representative, his half-brother, transferred funds out of customer’s UTMA account on several occasions during the time period 2015-2021 and deposited the funds into a checking account belonging to another family member.