Rob Moses has over 20 years’ experience inside the financial services industry, most recently for 18 years as General Counsel, Senior Vice President and member of the Board of Directors of First Allied Securities, Inc., an independent broker-dealer and registered investment adviser serving a retail and institutional client base. Early on in his tenure with First Allied, Rob was responsible for building and managing the firm’s compliance and supervision programs and spent a great deal of time developing and implementing written policies and procedures. As in-house counsel, he gained in-depth experience handling numerous regulatory and enforcement matters before the SEC, FINRA and state investment and insurance regulators, as well as hundreds of customer and industry claims resolved through the complaint, arbitration and mediation processes.
Rob was also responsible for product due diligence on investment products (alternative investments, mutual funds and annuities) and firms (sponsors, third party money managers and other service providers), that were reviewed and considered for offer to the firm’s clients. Through this product due diligence work, Rob gained deep experience with the retail offering of alternative investments such as non-traded REITs, 1031 exchanges, business development companies, hedge funds, oil and gas partnerships and equipment leasing programs. Having been involved in-depth with mergers and acquisitions (and conducting due diligence on other firms) within the industry for over 20 years, Rob has developed an informed sense of industry standards and best practices in the areas of regulation, compliance and supervision.
Rob can serve as an industry expert that will assist with analysis, preparation and testimony on cases related to sales practices (like suitability, clients’ best interests, discretion and authorization) and other industry practices (such as conflicts of interests and the adequacy of supervision, policies, procedures). Rob can provide expert advice and opinions on important points of a claim, including:
- Adequacy of Policies and Procedures
- Client Communications
- Client Financial Information
- Client Suitability
- Compliance Standard
- Conflicts of Interest
- Fees and Charges
- Industry Best Practices
- Product Due Diligence
- Supervision Standards
- Transaction Information
