Investigation of Alicia Moe and UnionBanc Investment Services
Have you lost money with financial advisor Alicia Moe of Woodland Hills, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alicia M. Moe. FINRA barred Moe from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Moe regarding allegations that she converted or stole money from customers of her firm, UnionBanc Investment Services.
Alicia Moe was a financial advisor and registered representative of UnionBanc Investment Services, Inc. from 2010 to January 2016. She worked at a branch office in Woodland Hills, California.
Brokerage firms like UnionBanc Investment Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Moe FINRA AWC
Click to view: Moe BrokerCheck 3.8.16
HAVE YOU LOST MONEY WITH ALICIA MOE or UNIONBANC INVESTMENT SERVICES?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798