RedFlag, Allegation and/or Complaint against Brevin Lee Moser
Disclosure #1 for Brevin Moser
- Event Date: 1/20/2022
- Disclosure Type: Customer Dispute
- Resolution: Closed-No Action
- Allegations: CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED THE HOLDINGS OF A MUTUAL FUND AND HE LOST $12,022 OVER THE FOLLOWING 6 MONTHS. THIS ACTIVITY OCCURRED BETWEEN AUGUST 13, 2021, THROUGH JANUARY 16, 2022.
- Damage Amount Requested: $12,022.00
- Arbitration Docket Number:
- Broker Comment: AFTER REVIEW BY VANGUARD, IT WAS DETERMINED THE REPRESENTATIVE ACTED APPROPRIATELY IN ANSWERING QUESTIONS ABOUT FUND COMPOSITION.
Should I file a FINRA complaint against brokers like Brevin Lee Moser?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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