Andrew Stephen Mogol

(CRD #3126881, Baltimore, Maryland)

January 8, 2026 – An AWC was issued in which Andrew Stephen Mogol was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for six months. Without admitting or denying the findings, Mogol consented to the sanctions and to the entry of findings that he initiated through his member firm brokerage account electronic transfers totaling approximately $85,000 to transfer money from his personal bank account to his firm brokerage account knowing that his bank account lacked sufficient funds to cover the transfers. The findings stated that Mogol used the funds credited to his brokerage account before the transfers were reversed due to insufficient funds. When the transfers were reversed, Mogol deposited sufficient funds to cover the outstanding balances so neither the bank nor his firm incurred any losses. The suspension is in effect from January 20, 2026, through July 19, 2026. (FINRA Case #2024082614901) If you have suffered losses as a result of Andrew Stephen Mogol’s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Andrew Stephen Mogol. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.