Jason Mosher | Sheppard Mosher Independent Wealth Management

According to SEC disclosures, Kalos Capital brokers recommended GPB Funds. According to FINRA’s BrokerCheck, Kalos Capital has bee the subject of  2 disclosures so far:

• September 2019: Regulatory, initiated by FINRA. Allegations include failure “to establish, maintain, and enforce a supervisory system.” Kalos Capital was “censured, fined $30,000 and ordered to pay $86,614, plus interest, in restitution to customers.”

• March 2012: Regulatory, initiated by FINRA. Kalos Capital was censured and fined $45,000.

Prior to working at Kalos Capital, Jason Mosher was registered with Wall Street Financial Group and Pruco Securities.

If you invested with Jason Mosher of Kalos Capital, contact Peiffer Wolf and Meyer Wilson immediately for a FREE Consultation.

To review Kalos Capital’s BrokerCheck report, click here:

https://brokercheck.finra.org/firm/summary/44337

*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

To review Jason Mosher’s BrokerCheck report, click here:

https://brokercheck.finra.org/individual/summary/2488435

*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

Jason Mosher and the GPB Lawsuit

Multiple lawsuits have been filed and multiple regulatory matters have been initiated, alleging that GPB Capital Holdings has been engaged in wrongdoing.  A former GPB Holdings partner alleged that “GPB paid its investors significant returns based upon falsified financial information”.

Our investigation into the various GPB private placement funds includes, but is not limited to: GPB Automotive Portfolio LP, GPB Cold Storage LP, GPB Eurobond Finance PLC, GPB Holdings II LP, GPB Holdings III LP, GPB Holdings Qualified LP, GPB Holdings LP, GPB NYC Development LP, GPB Scientific LLC, GPB Waste Management LP, GPB Waste Management Fund LP, and many more.

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Based on our experience and the SEC disclosures, we believe that there are more investors who have been the victims of Jason Mosher’s alleged broker misconduct. If you invested with Jason Mosher of Sheppard Mosher Independent Wealth Management, you should contact Peiffer Wolf and Meyer Wilson immediately for a FREE Consultation.

Learn more about the GPB Investor Lawsuit here: https://gpblawyer.com/gpb-investor-lawsuit/

Peiffer Wolf and Meyer Wilson are currently investigating Jason Mosher’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation. 888-390-6491.