Publicly available records provided by the Financial Industry Regulatory Authority on July 13, 2017 indicate that California-based B. Riley & Company and Virginia-based FBR Capital Markets & Company broker/adviser Andrew Moore has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Moore (CRD# 4574997).
Andrew Moore has spent 14 years in the securities industry and has been registered with FBR Capital Markets & Company in Arlington, Virginia since June 2017 and B. Riley & Company in Los Angeles, California since 2006. Previous registrations include Roth Capital Partners in Newport Beach, California and Bear Stearns & Company in New York, New York. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 87 (Research Analyst Exam – Part II Regulations Module); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 14 US states and territories: California, Colorado, Connecticut, Georgia, Illinois, Massachusetts, Michigan, Minnesota, New York, North Carolina, Pennsylvania, Texas, Utah and Wisconsin.
According to his BrokerCheck report, Andrew Moore has received one customer complaint.
In January 2017 a customer filed a complaint alleging a registered representative under Andrew Moore’s supervision at B. Riley & Company executed unsuitable transactions and misrepresented material facts. The complaint settled in April 2017 for $82,500.
If you or someone you know has complaints regarding Andrew Moore, B. Riley & Company, or FBR Capital Markets, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.