Joseph William Moyer of Columbus, Ohio, a stockbroker registered with LPL Financial LLC, was the subject of a customer initiated investment related complaint filed on March 29, 2021, in which the customer requested $189,000.00 in damages based upon allegations that Moyer made misrepresentations of material fact and made the unsuitable investment recommendation of variable life insurance products during the time that Moyer was associated with LPL Financial LLC. The complaint was denied on July 16, 2021.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Moyer is referenced in three other customer initiated investment related disputes concerning Moyer’s conduct while associated with securities broker dealers. A customer initiated investment related complaint involving Moyer’s conduct was settled for $933,404.83 in damages based upon allegations that Moyer advised the customer to purchase a life insurance policy that she did not need when Moyer was associated with MML Investors Services Inc.
On September 15, 2009, a customer complaint involving Moyer’s conduct was settled for $15,578.00 in damages based upon allegations that Moyer made unsuitable recommendations in mutual funds during the time that Moyer was associated with LPL Financial.
On August 25, 2020, another customer filed an investment related complaint involving Moyer’s conduct in which the customer requested $5,000.00 in damages based upon allegations that Moyer provided unsuitable advice and misrepresented material facts in connection with the sale of variable annuities. This complaint was closed with no further action taken by the customer.
Moyer has been associated with Kestra Investment Services LLC in Columbus, Ohio since August 23, 2016, and Kestra Advisory Services LLC in Austin, Texas since August 29, 2016.
