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.