Brokers Frances Frazer Moore and Beatriz Gaona Cadena and Morgan Keegan & Company have been sued by customers in FINRA (the Financial Industry Regulatory Authority) Arbitration. FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating claims filed against stockbrokers Frances Frazer Moore and Beatriz Gaona Cadena.
Frances Frazer Moore worked for Morgan Keegan & Company from March 1996 to February 2013. She worked for Raymond James & Associates from February 2013 to April 2018.
Frances Frazer Moore has been the subject of at least 2 customer complaints. One customer complaint related to unauthorized trading and unsuitability regarding mutual funds.
Beatriz Gaona Cadena also worked for Morgan Keegan & Company from March 1996 to February 2013. She worked for Raymond James & Associates from February 2013 to May 2018.
The recent FINRA arbitration was filed against Frances Frazer Moore and Beatriz Gaona Cadena in or around May 2016 and involves claims regarding to allowing a trustee to convert trust assets for his personal use. The customer seeks approximately $1.5 million in damages.
If you invested money through Frances Frazer Moore or Beatriz Gaona Cadena, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.
Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.
Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.