Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information below to discover more about the client disputes involving this individual.
Specifically, an LPL Financial LLC client filed FINRA Arbitration No. 24-01288 about Shannon Moore. Primarily, the client alleged that Moore made unsuitable recommendations that did not align with the client’s investment objectives and risk tolerance. For this reason, the client allegedly sustained damages relating to real estate securities. Therefore, on June 20, 2025 LPL Financial LLC settled this matter by paying the client $30,000 in damages.
Notably, a client of LPL Financial LLC disputed Shannon Moore’s sales practices, according to FINRA Arbitration No. 24-00611 dated May 2, 2024. Allegedly, Moore made unsuitable recommendations involving an investment that the client believed did not match their risk tolerance or objectives. It appears that Moore allegedly caused the client to sustain damages connected to real estate securities. As a result, the client sought compensation from LPL Financial LLC or Moore before the matter was later withdrawn.
Do you need clarification on any investment losses relating to Shannon Moore? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Moore and brokerage firms Moore worked for deny allegations of sales practice violations.
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Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]
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