Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shabri Moore (Moore), previously associated with Commonwealth Financial Network, 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 with a damage request of $235,391.33 on April 17, 2023.
Client alleging that the sale of two variable life insurance products were unsuitable.