Robert J. Moses

Robert J. Moses

Robert Moses is a Bates Group Affiliate Expert based in New York, NY. His extensive experience in the financial services industry enables him to provide counsel, consulting and expert testimony related to the legal, regulatory, compliance, supervisory and product due diligence areas of the financial services business.

Mr. Moses served 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 primarily retail client base through approximately 1,000 independent contractor financial services professionals. Early on in his tenure with First Allied, Mr. Moses 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.

Mr. Moses was also responsible for product due diligence efforts with respect to the 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 approval on the firm’s platform. Through this product due diligence work Mr. Moses gained deep experience with the due diligence review process necessary for retail offering of traditional and alternative investments and investment services. Having been involved in-depth with mergers and acquisitions (and conducting due diligence on other firms) within the industry for over 20 years, Mr. Moses has developed an informed sense of industry standards and best practices in the areas of compliance, regulation and supervision.

Since January 1, 2015, Mr. Moses has been in private practice providing advice and counsel to various participants in the financial services business, including registered investment advisors, broker-dealers, individual financial professionals, advisors to private funds and investors.

Mr. Moses is a member of the bars of the states of California, Connecticut and New York, and while employed in the industry, he held the Series 7, 24, 63 and Registered Investment Advisor (Series 65) licenses. He received a bachelor’s degree in Business Marketing from Long Island University in 1989, and his law degree from Benjamin N. Cardozo School of Law in 1992.


Credentials

EXPERIENCE

RJM Counsel PLLC, New York, NY, 2014-Present

First Allied Securities, Inc.  General Counsel, 1996-2014

Josephthal, & Co., Inc., Associate General Counsel, 1992-1996

Josephthal & Co., Inc.  Legal Assistant, 1991-1992

The Honorable Tina L. Brozman, United States Bankruptcy Court SDNY, Intern, 1991

Matthew Bender & Company, Inc. Editorial Assistant, 1990-1991

EDUCATION

Benjamin N. Cardozo School of Law, JD, 1992

Long Island University, BS Business Marketing, 1989

PROFESSIONAL DESIGNATIONS

State Bar Admissions: California, Connecticut, New York

PREVIOUSLY HELD LICENSES

Series 7, General Securities Representative

Series 24, General Securities Principal

Series 63, Uniform State Securities Agent

Investment Advisor Representative

Automat:ee