Goodman & Nekvasil P.A., May Recover Investor Losses – Stevin Lindsay Moses (Stevin Moses) Fired by LPL Financial LLC
From 2009 until Stevin Moses’ firing in 2016, Stevin Moses was licensed with LPL Financial LLC. Stevin Moses is now licensed with Founders Financial Securities LLC. According to FINRA’s records, Stevin Moses was fired by LPL Financial LLC on March 7, 2016. LPL Financial LLC reported to FINRA that Stevin Moses was fired following receipt of customer complaints and notice of an undisclosed tax lien.
FINRA reports that an arbitration claim involving Stevin Moses’ conduct with LPL Financial LLC was filed, alleging misrepresentation, unsuitability, and failure to supervise in connection with a third-party managed trust account. This arbitration claim was settled for $125,000.
FINRA also reports that Stevin Moses has an outstanding and unsatisfied IRS tax lien against him, in the amount of $38,057.
If you lost any money on investments with Stevin Moses, you may be able to recover your losses from LPL Financial LLC and/or Founders Financial Securities LLC. This is because LPL Financial LLC and/or Founders Financial Securities LLC had a duty to supervise Stevin Moses.
If you lost money on investments with Stevin Moses, 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 and/or Founders Financial Securities LLC concerning Stevin Moses’ 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. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Stevin Moses 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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