Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Moshtael (Moshtael), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Moshtael recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on October 15, 2024.
Failure to maintain/handle account based on Complainant’s instructions to not let value of the account fall below $250k; excessive commission charges. From 8/1/2020 to 2/1/2022
