Michael Mosslih (CRD #4662400) Has Customer Dispute Disclosures on FINRA BrokerCheck

Michael Mosslih (CRD #4662400) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 11, 2026. It reflects five customer dispute disclosures. Two examples appear below. BrokerCheck also reflects three additional customer dispute disclosures. If you invested with Michael Mosslih and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Michael Mosslih’s FINRA BrokerCheck Report reflects five customer dispute disclosures. Summaries of two disclosures are below. BrokerCheck also reflects three additional customer dispute disclosures.

On February 17, 2026, a customer alleged Michael Mosslih recommended a VUL policy in 2025 that was not suitable for the customer’s financial needs. Michael Mosslih’s FINRA BrokerCheck report lists the product type as insurance and the damages request as $5,000. BrokerCheck states that the complaint is pending.

On March 9, 2020, a customer alleged unsuitability, breach of contract, and breach of fiduciary duty. Michael Mosslih’s FINRA BrokerCheck report states that the claim sought $86,078 and settled on February 4, 2022 for $35,084.55. The report also states that Mosslih denied the allegations.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. A broker should match the recommendation to the customer’s profile, including risk tolerance, liquidity needs, and financial goals. A dispute about a VUL policy can raise questions about whether the recommendation fit those factors.

Rule Summary #2: FINRA Rule 2320 (Variable Contracts of an Insurance Company)

FINRA Rule 2320 addresses sales practices for variable contracts of an insurance company. Disputes involving variable insurance products can raise questions about how the contract was sold and whether key terms were handled and explained properly.

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 his FINRA BrokerCheck report, Michael Mosslih:

Is currently registered with Equitable Advisors, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Michael Mosslih has passed Series 7 and Series 24. He has also passed Series 66 and Series 63.

Was previously registered with firms that include Aegis Capital Corp. and Global Arena Capital Corp.

Kurta Law Can Help

If you have worked with Michael Mosslih and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | 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. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.