Marguerite Faulkner Moisio (CRD #4321694) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Marguerite Faulkner Moisio (CRD #4321694) is a broker with a customer dispute disclosure on FINRA BrokerCheck. We reviewed her BrokerCheck report on May 21, 2026. It reflects one customer dispute. If you invested with Marguerite Moisio and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Marguerite Moisio’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On January 6, 2026, clients alleged they understood advisory fees would be 1% for three accounts. They alleged the fees charged were higher from the accounts’ start. Marguerite Moisio’s FINRA BrokerCheck Report lists the product as managed/wrap accounts. The customers sought $12,000 in damages. The matter settled on February 4, 2026 for $12,000. Marguerite Moisio’s FINRA BrokerCheck Report states that her individual contribution was $10,000. Marguerite Moisio’s FINRA BrokerCheck statement says she was not the broker of record. It also says the allegations involved charged fees.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor)

FINRA Rule 2010 requires fair and ethical business conduct. Fee disputes may raise questions about whether an account was handled in a fair way.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. It can matter when a dispute raises questions about an account type, strategy, or fee structure.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her FINRA BrokerCheck report, Marguerite Moisio:

Is currently registered with LPL Financial LLC.

Has passed the Securities Industry Essentials (SIE) exam. Marguerite Moisio has also passed Series 7 and Series 63.

Was previously registered with firms that include Cetera Investment Services LLC, Hancock Whitney Investment Services Inc., and J.P. Morgan Securities LLC.

Kurta Law Can Help

If you have worked with Marguerite Moisio, Kurta Law may be able to help. The firm can evaluate your legal options. A securities attorney can assess potential causes of action. Counsel can also review whether losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Can I Sue My Broker? | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. An attorney can review the facts and explain possible next steps.