Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s April 2018 Disciplinary Report on the following South Florida broker:
Jimmy Oswald Moscoso (CRD #2912265, Boca Raton, Florida)
was barred by FINRA for allegedly converting an elderly client’s funds.
FINRA’s findings stated that the elderly client agreed to invest $20,000 in a purported real estate investment and gave Jimmy Moscoso a check for $20,000 made payable to the name of a business owned by him. Moscoso allegedly endorsed the check, deposited it into a bank account he controlled, and used the funds for his own personal use.
After Jimmy Moscoso’s member firm discovered his conduct, it fully reimbursed the client and Moscoso reimbursed the firm.
(FINRA Case #2018057246701)
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Jimmy Moscoso has 4 Disclosures on his report. One of the Disclosures was an “Employment Separation After Allegations,” from Lincoln Financial Advisors of Boca Raton, Florida. The allegations stated were, “The RR (registered representative) was terminated after the Firm learned that the RR had personally used the funds of one of his clients for his own benefit. After termination, the RR returned the funds and the client was made whole.” Moscoso was “Discharged” on January 11, 2018 following these allegations.
Jimmy Moscoso was listed in the securities industry for a total of 9 years and was listed with 2 firms, the most recent listed below:
03/05/2015 - 01/31/2018 LINCOLN FINANCIAL ADVISORS CORPORATION - Boca Raton, FL
FINRA has barred Jimmy Moscoso from acting as a broker or otherwise associating with a broker-dealer firm.
If you've experienced financial losses due to the actions or recommendations of the former Lincoln Financial Advisors of Boca Raton, Florida, broker Jimmy Moscoso, call Soreide Law Group, conveniently based in Pompano Beach, Florida, and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group operates on a contingency fee basis, no fee to you if no recovery, and represents clients nationwide before FINRA.
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