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Susan & Ryan Moseley: Investment Advisors Face Investor Complaint
A pending investor complaint against Bradenton, Florida financial advisors Susan Moseley (CRD# 871967) & Ryan Moseley (CRD# 5160880) alleges they failed to protect a client from downside risk. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Royal Alliance Associates brokers are currently registered as investment advisors with Moseley Investment Management.
Mr. and Ms. Moseley’s BrokerCheck reports disclose the same investor complaint. Filed in September 2023, it alleges that as representatives of Moseley Investment Management, they failed to diversify the customer out of a concentrated position and failed to provide downside protection. The pending complaint alleges damages estimated to be in excess of $5,000.
As the website for Moseley Investment Management states, the firm focuses on what it calls net worth management. “In other words, we endeavor to paint a picture that depicts your entire financial standing,” it explains. “Our strategic investment process leads us through simplifying the complex, personalized asset allocation, investment management, estate and generational planning.”
According to Ms. Moseley’s biographical statement, she founded the firm in 1990 and serves as its president. “Susan began her career in the investment industry in 1979 as a stock analyst for Raymond James,” the profile continues. “It soon became her dream to open an independent investment advisory firm specializing in providing conflict-free portfolio management advice to help clients achieve their dreams. Susan has been recognized as a top business woman in Sarasota and Bradenton. In 2017, she was inducted into the highly dynamic SRQ Magazine Women In Business Leadership Circle.”
Mr. Moseley’s profile explains that he is on the firm’s investment committee. “As our portfolio manager, he is head of the security selection process, financial planning, and determining financial strategies for all of our clients,” it states. “As our economist, Ryan provides research on individual companies as well as current economic and political events affecting market movements.”
According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Susan Moseley holds 43 years of securities industry experience. Based in Bradenton, Florida, she has been an advisor with Moseley Investment Management since 1999. Her past registrations include Royal Alliance Associates, Investment Management & Research, Barnett Brokerage Services, Dean Witter Reynolds, EF Hutton & Company, Higbee Securities, and Raymond James & Associates. She is licensed in Florida and Texas. Mr. Moseley, meanwhile, holds 10 years of securities industry experience and has been registered with the firm since 2014. He also holds licenses in Florida and Texas. (Information current as of October 23, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.