Stoltmann Law Offices is investigating Joshua Mosshart, a former broker with LPL Financial in Westlake Village, California. He has been permanently barred from the industry by the Financial Industry Regulatory Authority (FINRA). Allegedly, Mosshart was sanctioned by FINRA in 2014 for allegedly referring investors, including firm clients, to an outside business activity, for which he received fees. He was also accused of participating in the “wrongful” sale of Enviro Board Corp bonds, breaching fiduciary duty, breaching contract, acting negligently, failing to supervise and violating state and federal statutes, among other things. These are all against securities rules and regulations.
According to his FINRA BrokerCheck report, Mosshart was registered with Financial West Group, Schoff & Baxter, Fasco International, Chicago Investment Group, UBS and LPL in Westlake Village, California from July 2004 until December 2012. He has three customer disputes against him, is not licensed and has been permanently barred from the industry. Please call our Chicago-based securities law firm today if you suffered losses with Mr. Mosshart. We may be able to help you recover your financial losses with LPL in the FINRA arbitration program on a contingency fee basis.