Mary Turner Moose (also known as Mary Elizabeth Turner), of Greenwood Village, Colorado, a stockbroker registered with Cetera Advisors LLC, is the subject of a customer initiated investment related civil action in which the customer requested $450,000.00 in damages based upon allegations that Moose was negligent and failed to supervise certain registered representatives in connection with the recommendation and sale of investments during the time that Moose was associated with Cetera Advisors LLC. Civil Action No. 22cv20291 (June 21, 2022).
This is not the first time that Moose has been referenced in a customer initiated investment related dispute concerning Moose’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Moose was also referenced in a civil action that was settled for $15,000.00 in damages based upon allegations that Moose charged excessive commissions in connection with the sale of investments when Moose was associated with Cetera Advisors LLC. Civil Action No. 21SC05859 (March 1, 2022).
Moose was associated with Cetera Advisors LLC in Molalla, Oregon, as a stockbroker from September of 2017 to October of 2020.
Moose has been associated with Purshe Kaplan Sterling Investments in Ocean Park, Washington, as a stockbroker from October 2, 2020 to December 31, 2022.
