Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Moore (Moore), previously associated with Regulus Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $24,000.00 on September 27, 2021.
Client is stating I oversold Permanent Life Insurance based on his estate and wanted to back out of the contract on July 29, 2021. Product was sold on December 2, 2020. Claiming premium paid of $24,000.