Joseph Lee Moses, Broker with Sentinus-Halo Securities, Facing Customer Dispute Alleging Misconduct

INVESTORS: Sentinus-Halo Securities broker Joseph Lee Moses is facing a pending customer dispute alleging that he failed to respond to a customer’s questionnaire.

Joseph Lee Moses (CRD#: 2968778) is registered as a broker with Sentinus-Halo Securities, where he’s been employed since August 2022. Previously, Moses was registered as a broker with Charles Schwab from March until August  2022.

Moses has one disclosure on his BrokerCheck report. 

November 2021 Customer Dispute

Status: Pending

Allegations: The claimant alleges in 2008 she submitted a questionnaire designed to determine the suitability of her asset allocation mix and was never contacted to discuss whether the then-current allocations were suitable. As a result, the client alleges she never made changes to her investment allocations and therefore has lost out on market gains.

Damage Amount Requested: $5,000,000.00

If you have any information about Joseph Lee Moses that you would like to share or discuss, please call our firm for a confidential consultation. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.