Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geoffrey Moore (Moore), currently associated with Raymond James & Associates, INC., 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 settled customer complaint on January 06, 2021.
Claimants allege unauthorized trading, failure to adequately disclosure fees, failure to communicate with Claimants about their investments despite receiving account fees, and improperly receiving both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.