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Randy Moshtael Allegedly Failed to Follow Instructions

Randy Moshtael (CRD #: 1036474), a broker registered with Oppenheimer & Co., is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on December 21, 2023. Details regarding this dispute are provided below. 

On November 3, 2023, an investor alleged that Randy Moshtael did not follow his instructions. Time period for this alleged misconduct is mid-2021 until the present. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions is a violation of this rule. 

Background Information 

Randy Moshtael has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 3 National Commodity Futures Examination  
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination
  • Series 22 Direct Participation Programs Representative Examination 

He is registered in ten states and is a registered investment adviser in California. 

During his 40 years of experience, he has registered with six firms: 

  • Oppenheimer & Co. (CRD #: 249) 
  • Morgan Stanley (CRD #: 7556) 
  • Salomon Smith Barney (CRD #: 7059) 
  • Lehman Brothers (CRD #: 7506) 
  • Shearson Pacific (CRD #: 16957) 
  • E.F. Hutton & Company (CRD #: 235) 

Kurta Law Can Help 

If you have worked with Randy Moshtael and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.