Florida-based National Planning broker Gary Moore is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Moore (CRD# 852795).
Gary Moore has spent 37 years in the securities industry and has been registered with National Planning Corporation in Lakewood Ranch, Florida since 2007. Previous registrations include VSR Financial Services in Sarasota, Florida; ProEquities in Birmingham, Alabama; Roan-Meyers Associates in New York, New York; FAS Wealth Management Services in Sarasota, Florida; Painewebber Incorporated in Weehawken, New Jersey; Prudential-Bache Securities; EF Hutton & Company; Allen & Company of Florida; and Merrill Lynch. He is a registered broker with sixteen US states and territories: California, Colorado, Florida, Illinois, Kentucky, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, South Carolina, Tennessee, Texas, Wisconsin, and Wyoming.
According to his BrokerCheck report, Gary Moore is the subject of three customer complaints and one pending customer complaint, and was discharged from his position at ProEquities.
- In 2014 a customer alleged stockbroker Gary Moore, while employed at VSR Financial Services, breached his contract, breached his fiduciary duty, misrepresented material facts, acted negligently, and violated both FINRA rules and federal securities law. The customer is seeking $375,000 in damages in the pending complaint.
- In 2011 a customer alleged Gary Moore, while employed at VSR Financial Services, violated federal securities law, breached his contract, committed common law fraud, breached his fiduciary duty, and acted negligently. The complaint settled in 2012 for $80,000.
- In 2004 Gary Moore was discharged from his position at ProEquities following allegations he purchased shares in a real estate investment trust directly with an investor, without required prior notice to the firm.
- In 1993 a customer alleged Gary Moore, while employed at Painewebber, acted negligently, made unsuitable recommendations, misrepresented material facts, and breached his fiduciary duty. The complaint settled in 1994 for $55,000.
- In 1989 a customer alleged Gary Moore, while registered with Painewebber, breached his fiduciary duty, made unsuitable recommendations in speculative securities, misrepresented material facts, and failed to follow instructions. The complaint settled in 1990 for $35,000.
If you have lost money investing with Gary Moore, you may be eligible to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you collect money. By law there is a limited window to file claims, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.
This information provided by FINRA on March 30, 2016.