Soreide Law Group is investigating possible investor claims against securities broker Mary Moose AKA Mary Moose Garlock and Mary Elizabeth Turner [CRD#: 3130178, Ocean Park, WA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Advisors. Evidently, investors allege sales practice violations in these disputes, including that Moose was negligent and failed to supervise. Here is a brief summary of the disclosures about Moose.
Mary Moose Discloses Negligence Allegations By Cetera Advisors Client
Evidently, a client of Cetera Advisors contested Mary Moose’s sales practices by filing FINRA Arbitration #: 22cv20291 on June 21, 2022. Allegedly, Moose was negligent and failed to supervise. Supposedly, the investments which Moose sold or recommended had caused the client to sustain damages. Therefore, the client seeks compensatory relief from Cetera Advisors or Moose in the amount of $450,000 in this ongoing matter.
Cetera Advisors Investor Accuses Moose Of Excessive Commissions
Also, a Cetera Advisors client filed Civil Suit#: 21SC05859 about Mary Moose. Notably, the client alleged that Moose charged the client excessive commissions. Because of this, the client sustained damages. Therefore, on March 1, 2022, Cetera Advisors settled this matter by paying the client $15,000.
Mary Moose worked for Cetera Advisors in Molalla, OR, as a financial advisor from September 25, 2017 to October 1, 2020. Moose works for Investment Design Management in Ocean Park, WA, as a financial advisor since October 6, 2022.
Mary Moose worked for Cetera Advisors in Molalla, OR, as a securities broker from September 25, 2017 to October 1, 2020. Moose works for Purshe Kaplan Sterling Investments in Ocean Park, WA, as a securities broker since October 2, 2020.
Moose has been employed by Victory Financial Planning in Ocean Park, WA, as a financial advisor since October 9, 2020.
Did Cetera Advisors Securities Broker Mary Moose Cause You To Experience Damages?
Have you experienced damages by investing with Mary Moose? If so, contact Soreide Law Group at (888) 760-6552 to talk with a securities lawyer about a possible recovery of your investment losses. Notably, Soreide Law Group has successfully recovered money for investors throughout the United States. The firm represents clients on a contingency fee basis and advances all costs. Moose and brokerage firms Moose was employed by deny any and all allegations of sales practice violations.
