DID BRYAN JAMES MOSKOWITZ CAUSE YOU INVESTMENT LOSSES?
Bryan Moskowitz was fired from NYLife Securities LLC on December 2, 2024, following findings that he violated FINRA Rules 2111 and 2010.
Who is Bryan Moskowitz formerly with NYLife Securities LLC?
Bryan Moskowitz (CRD #6063246) who was formerly registered as a broker with NYLife Securities LLC and located in Saddle Brook, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Bryan Moskowitz Employment History and Termination
Bryan James Moskowitz has worked for six securities firms, including NYLIFE Securities LLC (2023–2024), Spartan Capital Securities (2017–2022), Worden Capital Management (2016–2017), Legend Securities (2013–2016), Joseph Gunnar & Co. (2012–2013), and Brookstone Securities (2012).
During his career, he passed two general industry/product exams (SIE and Series 7) and one multi-state securities law exam (Series 63). However, his registration ended in December 2024 following termination. He has no active professional designations and is currently not registered with any firm.
His termination was linked to excessive trading practices while working at Spartan Capital Securities
Moskowitz was terminated by NYLIFE Securities LLC on December 2, 2024, after FINRA ruled that he had engaged in excessive and unsuitable trading while working at Spartan Capital Securities, which resulted in significant financial losses for a customer. The regulatory action resulted in a three-month suspension, a fine, and restitution payments.
Negative Disclosures Summary
Two disclosures were noted on his report:
- Regulatory Action
- Initiated by: FINRA
- Firm: Spartan Capital Securities, LLC
- Violation: Engaged in excessive and unsuitable trading for a client, a veterinarian in his mid-60s, leading to:
- Sanctions: after accepting and consenting to FINRA’s findings, he violated FINRA Rules 2111 and 2010
- Suspension: Three months (December 2, 2024 – March 1, 2025)
- Fine: $5,000
- Restitution Payment: $13,145
- Status: Finalized via Acceptance, Waiver & Consent (AWC).
- Employment Termination (December 2, 2024)
- Firm: NYLIFE Securities LLC
- Details: The firm discharged Moskowitz after he accepted FINRA’s ruling and sanctions.
- related to excessive and unsuitable trading at a prior firm. He was issued a three-month suspension, a $5,000 fine, and $13,145 in restitution payments.
Bryan Moskowitz Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Bryan Moskowitz is a red flag which should put all current and former customers of Bryan Moskowitz at NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Bryan Moskowitz engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at NYLife Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At NYLife Securities LLC Due To Bryan Moskowitz
If you have questions about NYLife Securities LLC and/or Bryan Moskowitz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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