What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: September 9, 2015

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.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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