STEPHEN PAUL MOSLEY (S. PAUL MOSLEY, STEPHEN P MOSLEY) CRD#: 4900781
formerly with Ameriprise Financial of Lake Havasu, Arizona, was discharged in November of 2016, according to the report in FINRA’s BrokerCheck for alleged, “compliance policy violations related to complying with disciplinary action and heightened supervision, soliciting a prohibited security and suitability of a transaction.”
Selling a security not held by the member firm the broker is listed with, or ‘selling away’ is against securities laws. The broker or financial advisor’s member firm, in this case Ameriprise, has a responsibility to the clients to supervise their brokers. The firm can be held liable for the brokers’ misconduct.
According to FINRA’s BrokerCheck, STEPHEN P MOSLEY, has 3 Disclosures on his report, 2 which are ‘Customer Disputes.’ STEPHEN P MOSLEY was registered in the securities industry for 9 years and was listed with 5 firms, the most recent listed below:
10/10/2013 - 12/20/2016 AMERIPRISE FINANCIAL SERVICES, INC. - LAKE HAVASU CITY, AZ
06/20/2011 - 09/24/2013 EDWARD JONES - LAKE HAVASU CITY, AZ
If you were a client of former Ameriprise Financial of Lake Havasu City, Arizona, STEPHEN P MOSLEY, and you experienced losses due to his actions or recommendations, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group will represent you nationwide before FINRA. We operate on a contingency fee basis. Let our experience work for you.
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