Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into former LPL Financial LLC broker Claude Love Moore III (CRD# 6727836) regarding multiple customer complaints and regulatory concerns. If you invested with Mr. Moore and experienced losses or have concerns about your investments, you may have legal options to recover your funds.
Who is Claude L. Moore III?
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Claude Love Moore III, also known as “Trey” Moore, is a former stockbroker and financial advisor who most recently worked with LPL Financial LLC in Rock Hill, South Carolina from December 2021 through May 2023. According to FINRA BrokerCheck records, Mr. Moore is not currently registered with any FINRA member firm as of August 2025.
Red Flags and Customer Complaints
Our investigation has uncovered significant concerns regarding Mr. Moore’s conduct as a financial advisor. These red flags should be carefully considered by any investor who worked with him:
| Type of Issue | Details | Why This Matters |
|---|---|---|
| Customer Complaint #1 | Filed on 06/07/2023 Damages Requested: $250,000 |
Large damage amount suggests serious investment losses |
| Customer Complaint #2 | Filed on 03/01/2024 Damages Requested: $280,000 |
Pattern of substantial client losses emerging |
| Allegations | Unsuitable recommendations Misrepresentations Breach of fiduciary duty |
Core violations of securities regulations and client trust |
| Current Status | Both complaints pending | Unresolved issues may indicate ongoing problems |
Understanding the Specific Allegations
The complaints against Mr. Moore involve serious allegations that every investor should understand:
- Unsuitable Investment Recommendations: This means Mr. Moore may have recommended investments that were not appropriate for his clients’ financial situations, risk tolerance, or investment objectives. When advisors make unsuitable recommendations, clients often face unexpected losses.
- Misrepresentations: These allegations suggest that Mr. Moore may have provided false or misleading information about investments, their risks, or potential returns. Investors rely on accurate information to make informed decisions about their financial future.
- Breach of Fiduciary Duty: Financial advisors have a legal obligation to act in their clients’ best interests. A breach of this duty means the advisor may have put their own interests ahead of their clients’.
Timeline of Concerns
The timing of these complaints raises additional red flags:
May 2023: Mr. Moore’s registration with LPL Financial LLC ends
June 2023: First customer complaint filed (just one month after leaving LPL)
March 2024: Second customer complaint filed
Total Damages Requested: $530,000
This pattern suggests that problems may have occurred during Mr. Moore’s time at LPL Financial, with clients discovering issues after his departure.
Why These Numbers Matter to You
The $530,000 in combined damages requested by just two clients represents potentially devastating losses for everyday investors. These aren’t just numbers – they represent retirement savings, college funds, and financial security that families worked years to build.
When multiple clients file complaints with similar allegations, it often indicates a pattern of problematic behavior rather than isolated incidents. The fact that both complaints remain pending means these investors are still fighting to recover their losses.
What Should Investors Do?
If you invested with Claude Moore III at LPL Financial or any other firm, consider taking these steps:
- Review Your Account Statements: Look for unexpected losses, unauthorized trades, or investments that seem inconsistent with your goals
- Document Everything: Gather all communications, account statements, and investment documents
- Calculate Your Losses: Determine how much you’ve lost from investments recommended by Mr. Moore
- Act Quickly: Securities claims have time limits, so don’t delay in seeking help
Your Legal Rights as an Investor
Investors who suffered losses due to unsuitable recommendations, misrepresentations, or breaches of fiduciary duty may be entitled to recover their losses through FINRA arbitration. This process allows investors to seek compensation without going to court.
You don’t have to accept investment losses caused by advisor misconduct. The law provides protections for investors, and experienced securities attorneys can help you understand your options.
Why Choose Haselkorn & Thibaut?
With over 50 years of experience in investment fraud cases, Haselkorn & Thibaut has achieved a 98% success rate and recovered millions of dollars for clients nationwide. Our firm operates on a “No Recovery, No Fee” basis, meaning you pay nothing unless we recover money for you.
We understand the stress and frustration of investment losses. Our team provides compassionate, professional representation to help you navigate this challenging time and work toward recovering your hard-earned money.
Get Your Free Consultation Today
Don’t wait to explore your legal options. The dedicated attorneys at Haselkorn & Thibaut are ready to review your case and help you understand your rights. Call 1-888-885-7162 today for your free, confidential consultation. There’s no obligation, and you’ll speak directly with an experienced investment fraud attorney who can answer your questions and explain your options.
Time limits apply to investment fraud claims, so call 1-888-885-7162 now to protect your rights and start your path toward financial recovery. Visit InvestmentFraudLawyers.com to learn more about how we can help you.
