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 As a result, the client sought compensation from LPL Financial LLC or Moore before the matter was later withdrawn.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.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
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