Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers has opened an independent investor investigation regarding John Moriarty (CRD# 2720704), a financial advisor currently registered with Madison Avenue Securities in Kirkwood, Missouri, and affiliated as an investment adviser with Transc3nd (d/b/a E3 Wealth). Our firm is examining historical and pending customer complaints against Mr. Moriarty, as well as his overall compliance record and standards of investor care. We encourage investors who have worked with John Moriarty to review the findings below and contact us at 1-888-885-7162 for a complimentary, confidential consultation regarding their potential recovery options.
Why Investors Contact Us: With a 98% success rate in hundreds of investor claims, 95+ years of combined securities law experience, and more than $520 million involved in resolved matters, our attorneys know how to leverage genuine former Wall Street defense insight to fight for your recovery. The firm holds Top 2% Martindale-Hubbell AV Preeminent ratings, Super Lawyers distinctions, and a 5.0-star client review record—all on a no recovery, no fee basis. We are determined advocates for investors who demand action and accountability.
Overview: John Moriarty’s Regulatory and Disclosure Background
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According to FINRA BrokerCheck and publicly available sources, John Moriarty has been in the securities industry for over three decades. He is currently registered as a broker with Madison Avenue Securities and as an investment adviser through Transc3nd/E3 Wealth, supporting clients across 47 states from his base in Kirkwood, Missouri. His professional background includes several prior affiliations:
- AE Wealth Management
- Kalos Capital
- National Planning Corporation
- American General Securities
- Heartland Financial Advisors Group
- Franklin Financial Services
Mr. Moriarty is fully credentialed, having passed eight securities industry qualifying exams, including the Series 7, 63, 65, and 24, among others. He currently maintains licensing across 47 states, demonstrating significant industry reach and influence.
Investor Complaints and Disclosure Events: Key Red Flags
Our investigation places particular emphasis on the nature, status, and outcomes of investor complaints disclosed against John Moriarty. While public records indicate no major regulatory enforcement actions or state-level findings to date, certain customer disputes on his record should be weighed carefully by investors. Below is a detailed current summary:
| Type | Allegation | Date | Status | Claimed Damages/Outcome |
|---|---|---|---|---|
| Pending Complaint |
|
June 2026 | Pending | $700,000 in alleged damages |
| Settled Complaint |
|
2018 | Settled | $9,999 paid in settlement |
| Closed Complaint |
|
2022 | Closed (No Regulatory Action) | No restitution or regulatory sanction |
Fiduciary Standards for Advisors: What You Should Know
When working with a financial advisor such as John Moriarty, investors entrust their savings and retirement assets to strict legal and ethical standards. The Investment Advisers Act of 1940 imposes a fiduciary duty, which requires the adviser to act in the investor’s best interests and to avoid, or fully disclose, potential conflicts.
Moreover, the SEC’s Regulation Best Interest obligates registered representatives to make fair and transparent disclosures of all material facts and conflicts at the time recommendations are made. Violations, such as pushing unsuitable, misleading, or high-risk strategies, can lead to significant investor losses and may support arbitration, disciplinary action, or monetary recovery claims. Our attorneys have seen these standards breached in a variety of complex ways, and we understand the investigative pathways the industry may try to use to shield itself.
Summary of Other Regulatory, Civil, and Media Activity
- No evidence of FINRA, SEC, or state-level regulatory action taken against John Moriarty personally.
- No record of suspensions, bars, fines, cease-and-desist orders, or administrative proceedings directly involving him.
- No civil litigation, class actions, or criminal complaints filed against him individually as of the most recent public records check.
- No press or news reports alleging fraud, Ponzi schemes, or formal misconduct regarding his advisory activities.
- Affiliated firms, including Transc3nd/E3 Wealth and Madison Avenue Securities, similarly show no direct enforcement action or mass customer claims directly attributable to Mr. Moriarty, though Madison Avenue Securities does have a handful of customer complaints in recent years.
Why Red Flags Matter—Investor Takeaways
While John Moriarty of Madison Avenue Securities in Kirkwood, Missouri, is not currently subject to formal regulatory sanction, multiple investor complaints, including a recent pending claim for $700,000 in alleged damages over unsuitable and potentially unlawful recommendations, are red flags investors should not ignore. The pattern of disputes raises concerns about fiduciary care, suitability standards, and candor in disclosure, which are core issues in securities law that we frequently confront on behalf of our clients. Our seasoned approach, shaped by decades of experience as former defense counsel, helps us uncover facts, hold financial professionals accountable, and vigorously pursue financial recovery for harmed investors.
Take Action: Consult Our Investment Fraud Team for Free
If you or someone you care about worked with John Moriarty in Kirkwood, Missouri, or through Madison Avenue Securities or E3 Wealth/Transc3nd, and are seeking recovery of investment losses, our attorneys stand ready to help. Call us now at 1-888-885-7162 for a free, confidential consultation about your options. There are no fees unless we recover your funds. Our team will thoroughly examine your case, leverage our insight to advocate for you, and fight to ensure your voice is heard. We encourage you to act promptly to maximize your potential for recovery.
