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
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
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