Joshua Mosshart – Joshua Daniel Mosshart, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Losses
CRD#: 3174050
Joshua Mosshart was previously registered with LPL Financial LLC in Westlake Village, California. According to Joshua Mosshart’s CRD, FINRA barred Joshua Mosshart alleging that he sought for permission from his member firm to be a company’s sales representative involved in selling manufacturing machines for building panels. According to FINRA, the Firm approved this outside business activity, but specifically advised Joshua Mosshart not to solicit any individuals to invest in the company and required him to inform the Firm about any material changes in his role with the company. However, while Joshua Mosshart was associated with the Firm, Joshua Mosshart referred several investors, some of whom were the Firm’s customers, to the company, who, in turn, invested nearly $5 million in the company. According to FINRA, Joshua Mosshart received about $485,000 in referral fees, and served as the president of the company. According to FINRA, Joshua Mosshart never provided written notice to the Firm that he was referring investors to the company and receiving fees for those referrals, failed to receive written approval from the firm to engage in those private securities transactions, and also failed to provide the Firm with prompt and accurate written notice that he was serving as the company’s president.
According to Joshua Mosshart’s CRD, six customer disputes have been filed against Joshua Mosshart, three of which are arbitration claims. According to Joshua Mosshart’s CRD, the clamaint(s) against Joshua Mosshart alleged non-approved solicitation, fraud, negligent supervison, violation of State Securities Act, misrepresentation, and breach of fiduciary duty, among other allegations. According to Joshua Mosshart’s CRD, two of the customer complaints filed against Joshua Mosshart settled for $119,500.50 and $100,000.00 in favor of the victimized investors.
If you lost any money on investments with Joshua Mosshart, you may be able to recover your losses from LPL Financial LLC. If you lost money on investments with Joshua Mosshart and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against LPL Financial LLC concerning Joshua Mosshart’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Joshua Mosshart and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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