The Financial Industry Regulatory Authority (FINRA) recently barred Ronald Moschetta from the securities industry. He was accused of misusing $3 million in investor funds, making unsuitable investment recommendations, failing to provide appropriate disclosures about the investments, committing fraud, negligently misrepresenting material facts related to an investment, breach of contract and breach of fiduciary duty.
Moschetta was registered with the following firms: Marsan Securities, Josephthal & Co., AMFCO Securities, Haas Securities Corp, York Securities, Equities International Securities, Merrill Lynch, Oppenheimer & Co., Berkeley Securities Corp., Gruntal & Co Inc., Advest, Lehman Brothers, Smith Barney, Commonwealth Associates, NYPPE LLC, Strasbourger Pearson Tulcin Wolff, and Todd and Company in Garden City, New York from September 2009 until September 2010. He has three customer disputes against him, three of which are currently pending. He is not licensed within the industry, and FINRA permanently barred him from the industry.
If you invested money with Ronald Moschetta, you may be able to sue Todd & Co., his former firm for investment losses. They had a duty to reasonably supervise him while he was registered there, and, because they did not, can be held liable for losses. We are securities attorneys based in Chicago, Illinois and we sue firms like Todd & Co. in the FINRA arbitration forum. The call is free. 312-332-4200.
Disclaimer
The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.
PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.
