Jimmy Moscoso of Boca Raton Florida is a stockbroker formerly employed with Lincoln Financial Advisors Corporation who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted the funds of a customer. Letter of Acceptance Waiver and Consent No. 2018057246701 (Feb. 14 2018).
According to the AWC, an elderly customer acquiesced to investing in a real estate investment through Moscoso, wherein the customer wrote out a $20,000.00 check that was payable to Moscoso’s business. Moscoso reportedly endorsed the customer’s check and elected to deposit it in a bank account that he was the controller of. Evidently, Moscoso then utilized the customer’s money for his own personal benefit. FINRA found that Moscoso’s conduct was violative of FINRA Rules 2010 and 2150(a).
Moscoso was fired by Lincoln Financial Advisors on January 11, 2018 supported by allegations that he wrongfully took a customer’s funds.
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