John Edward Moriarty of Crystal City Missouri a stockbroker formerly employed by National Planning Corporation is referenced in a customer initiated investment related arbitration claim which was resolved for $9,999.00 in damages supported by accusations that (1) fiduciary duties owed to the customer had been breached (2) transactions were placed in the customer’s account that were not suitable for the customer and (3) the customer’s real estate security and insurance transactions lacked the firm’s supervision when executed. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01309 (June 1, 2018).
FINRA Public Disclosure additionally confirms that on December 22, 2004, a customer filed an investment related complaint concerning Moriarty’s activities where the customer sought $60,000.00 in damages founded on accusations that while Moriarty was associated with American General Securities Incorporated, the customer was poorly advised regarding the purchase of whole life insurance policies.
Moriarty’s registration with National Planning Corporation has been terminated as of July 12, 2017. Since July 7, 2017, he has been employed by Kalos Capital, Inc.
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