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Claude Moore is the Subject of a GWG L Bond Dispute

Claude Moore (CRD #: 6727836), previously registered broker with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 14, 2025. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 6, 2025, investors alleged that Claude Moore violated federal securities laws with his recommendations of GWG L Bonds. GWG Holdings has since filed for bankruptcy. The investors further alleged breaches of fiduciary duty, negligence, and gross negligence. 

The investor is seeking $200,000. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material facts, and failure to follow instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information 

Claude Moore has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He has registered with LPL Financial (CRD #: 6413) and Capital Investment Group (CRD #: 14752). 

Kurta Law Can Help

If you worked with Claude Moore and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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