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Joseph Moses Involved in $5 Million Investor Dispute

Mar 15, 2022 Unsuitable Investments

Joseph Moses (CRD #: 296778), a broker registered with Charles Schwab, is involved in an investor dispute, according to his BrokerCheck record, accessed on March 8, 2022.

On November 1, 2021, an investor alleged that Joseph Moses failed to contact her to discuss whether certain allocations were suitable. As a result, the client alleges she never made changes to her investment allocations and has lost out on market gains. The investor is seeking $5,000,000; the dispute is pending.

Investments as well as the investment strategy must fit the investor’s profile. In addition, investors must comply with FINRA Rule 2010, which states that investors must uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Joseph Moses has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 General Securities Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination
  • Series 24 General Securities Principal Examination
  • Series 26 Investment Company Products/ Variable Contracts Principal Examination

He is a registered broker in 50 states and Washington D.C. He is also an investment adviser in Colorado.

Joseph Moses has worked with the following firms:

  • Charles Schwab (CRD #: 5393)
  • TD Ameritrade (CRD #: 7870)
  • TIAA-CREF Advice and Planning Services (CRD #: 20472)
  • TIA-CREF Trust Company, FSB (CRD #: 108579)
  • Teachers Personal Investors Services (CRD #: 36130)
  • Financial Network Investment Corporation (CRD #: 13572)
  • Mutual of Omaha Investor Services (CRD #: 611)

Kurta Law Can Help

If you have worked with Joseph Moses and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.