October 2020- Jenkintown, PA
According to publicly available records of Thomas W. Molteni (CRD#1022911) , a former stockbroker who last worked for J. Alden Associates, Inc., discloses a regulatory event and tax liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In December of 2019, FINRA suspended Molteni from the securities industry for three months and fined him $5,000 for willfully failing to disclose two federal tax liens totaling approximately $250,300.
Molteni was employed by J. Alden Associates, Inc., from June 2008 until January of 2020. Before that he had been with First Heartland Capital, Inc.
If you had an account with Thomas Molteni that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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