Alicia M. Moe—Customer Fund Conversion

Alicia M. Moe, While Registered with UnionBanc Investment Services, LLC, Allegedly Engaged in Possible Conversion of Customer Funds

Alicia M. Moe, while registered with UnionBanc Investment Services, LLC, allegedly engaged in possible conversion of customer funds, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).

Alicia M. Moe’s troubles began after FINRA commenced an investigation into the purported misconduct reported in her Form U5, the AWC reports.

Soon thereafter, on February 2, 2016, FINRA staff sent Moo a written request related to a written request that Moo appear on February 17, 2016 for on-the-record testimony, the AWC states.

Alicia M. Moe Barred by FINRA for Allegedly Refusing to Provide Information and Appear for On-the-record Testimony

Alicia M. Moe was contacted by FINRA staff on February 2, 2016, via telephone and Moe later confirmed that she had received written requests to provide on-the-record testimony, according to the aforementioned AWC.

Alicia M. Moe , however, on February 17,2016, indicated to FINRA staff that she would not provide a complete response to the written request, and would not provide sworn testimony, and as a result, violated FINRA Rules and, hence, was consequently barred by FINRA.

One should also note that, according to the AWC, Alicia M. Moe neither admitted nor denied the FINRA findings.

The Peiffer Rosca Wolf Securities Lawyers Often Assist Investors

The Peiffer Rosca Wolf securities lawyers assist investors who lose money as a result of customer fund conversion. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of customer fund conversion are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1144 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.