{"id":5927,"date":"2018-05-07T16:25:18","date_gmt":"2018-05-07T20:25:18","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5927"},"modified":"2018-05-07T16:25:18","modified_gmt":"2018-05-07T20:25:18","slug":"finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds\/","title":{"rendered":"FINRA Bars Jimmy Oswald Moscoso Over Allegations Of  Improper Use of Customer Funds"},"content":{"rendered":"<p>FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last employed with Lincoln Financial Advisor Corporation of Boca Raton, FL, from 03\/05\/2015 to 01\/31\/2018. He was previously employed by Putnam Retail Management Limited Partnership (CRD# 7325), of Boston, MA, from 03\/18\/1998 through 06\/01\/2004.<\/p>\n<p>Moscoso was barred from acting as a broker, or otherwise associating with a FINRA broker-dealer firm in any capacity. This bar became effective on 02\/14\/2018, is indefinite and bars him from functioning as a broker in \u201call capacities.\u201d While Moscoso neither denied nor admitted to the allegations, he consented to the sanctions and to the findings.<\/p>\n<p>It was discovered that an elderly customer offered to invest in an alleged real estate deal, and gave Moscoso a check for $20,000 for the deal. The check was made out to the name of Moscoso\u2019s business. He signed then deposited the check into an account he had control over, and used the funds for his own personal use. Moscoso violated FINRA Rules 2150(a) and 2010 governing this kind of transaction.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds\/\"  title=\"Continue Reading FINRA Bars Jimmy Oswald Moscoso Over Allegations Of  Improper Use of Customer Funds\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last employed with Lincoln Financial Advisor Corporation of Boca Raton, FL, from 03\/05\/2015 to 01\/31\/2018. He was previously employed by Putnam Retail Management Limited Partnership (CRD# 7325), of Boston, MA, from 03\/18\/1998 through [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,580],"tags":[812,813,290],"class_list":["post-5927","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-stockbroker-misconduct","tag-jimmy-oswald-moscoso","tag-lincoln-financial-advisor-corporation","tag-securities-arbitration"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds &#8212; Securities Arbitration Lawyers Blog &#8212; May 7, 2018<\/title>\n<meta name=\"description\" content=\"FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last &#8212; May 7, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds &#8212; Securities Arbitration Lawyers Blog &#8212; May 7, 2018\" \/>\n<meta name=\"twitter:description\" content=\"FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last &#8212; May 7, 2018\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds &#8212; Securities Arbitration Lawyers Blog &#8212; May 7, 2018","description":"FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last &#8212; May 7, 2018","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds &#8212; Securities Arbitration Lawyers Blog &#8212; May 7, 2018","twitter_description":"FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. He was last &#8212; May 7, 2018","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jimmy-oswald-moscoso-over-allegations-of-improper-use-of-customer-funds\/","name":"FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds &#8212; Securities Arbitration Lawyers Blog &#8212; May 7, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2018-05-07T20:25:18+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"FINRA has permanently barred Jimmy Oswald Moscoso (CRD#2912265) in the fourth disclosure of his record as a previously registered broker. 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