Last Updated: August 2025 — Rock Hill, SC
Here’s what you need to know about Rock Hill, SC, stockbroker Claude L. Moore III:
- Name: Mr. Claude Love Moore III
- CRD Number: 6727836
- Current Status: Not currently registered with any FINRA member firm
- Function: Stockbroker / Financial Advisor
- Primary Location: Rock Hill, SC
- Prior Employers:
- LPL Financial LLC (12/2021 – 05/2023)
- Capital Investment Group, Inc. (02/2017 – 12/2021)
- DBA: Ferguson Financial, LLC
- General Industry/Product Exams Passed:
- Securities Industry Essentials Examination (10/01/2018)
- General Securities Representative Examination – Series 7 (02/18/2017)
- State Securities Law Exams Passed:
- Uniform Combined State Law Examination – Series 66 (06/09/2017)
- Can Claude L. Moore III be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Pending Customer Dispute Amount: $200,000
If you’ve sustained damages from Mr. Moore, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Claude L. Moore III As Your Stockbroker?
In a pending FINRA arbitration case filed in June 2025 (Case No. 25-01135), a customer of Capital Investment Group, Inc. alleges that investments recommended by Claude L. Moore III resulted in significant losses related to GWG Holdings, Inc., which filed for Chapter 11 bankruptcy on April 20, 2022. The pending claim seeks $200,000 in damages.
Allegations of Broker Misconduct Against Claude L. Moore III
- Unsuitable Recommendations of Direct Participation Programs (DPPs) & Limited Partnership (LP) Interests
- Breach of Fiduciary Duty
- Common Law Fraud
- Negligence and Gross Negligence
- Failure to Supervise
- Violations of federal securities laws
- Violations of South Carolina and North Carolina Securities Acts
- Breach of contract
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Claude Love Moore III, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.