Gary D. Moore, of Sarasota, Florida, a stockbroker currently registered with National Planning Corporation, has been subject to a customer initiated investment related arbitration claim on May 18, 2016, in which the customer alleged that Moore effected unsuitable real estate investment trust transactions in the customer’s account.
FINRA Public Disclosure reveals that Moore has been subject to five additional events concerning allegations of misconduct. Particularly, on April 30, 2004, he was discharged from a former employer, ProEquities, Inc., based upon allegations that Moore engaged in an unauthorized private securities transaction involving a real estate investment trust purchase.
Additionally, on April 13, 2011, a customer initiated investment related arbitration claim involving Moore’s conduct was resolved for $80,000.00 in damages bases upon allegations that Moore negligently handled the customer’s account, breached his fiduciary and contractual duties, and defrauded the customer.
Further, on November 14, 2014, a customer filed an investment related arbitration claim involving Moore’s actions, in which the customer requested $375,000.00 in damages based upon allegations that Moore breached his fiduciary and contractual duties, made omissions and misrepresentations to the customer concerning investments, and negligently handled the customer’s account.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
