Matthew Paul Moore (CRD #6621666) Has a Customer Dispute Disclosure on FINRA BrokerCheck
Matthew Paul Moore (CRD #6621666) has been the subject of disclosure events, which have recently been reported on his FINRA BrokerCheck Report. According to Matthew Paul Moore’s FINRA BrokerCheck report accessed on January 20, 2026, Matthew Paul Moore has been the subject of one customer dispute. If you invested with Matthew Paul Moore and you have concerns about his activity, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Investor Disputes / Customer Complaints
Matthew Moore’s FINRA BrokerCheck report reflects one customer dispute disclosure. A summary of the dispute is below:
On November 18, 2025, a customer alleged that Matthew Moore liquidated assets held in the customer’s Roth IRA account without authorization and transferred the proceeds to a joint registration account. The disclosure states the proceeds were used to pay a premium for a Protective Strategic Objectives variable universal life (VUL) policy in October 2024, and the customer alleged they had instructed Matthew Moore to cancel the policy. The product type listed on the disclosure is Other: Assets held in Roth IRA. and the alleged damages are $15,000.00. The disclosure reflects the matter was denied on December 1, 2025.
Rule summary #1: FINRA Rule 3260 (Discretionary Accounts)
FINRA Rule 3260 addresses discretionary trading and requires firms to obtain and maintain proper customer authorization before accepting orders for a customer’s account from a person other than the customer. The rule also requires supervisory review and controls designed to detect and prevent improper activity in discretionary accounts.
Rule summary #2: FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds)
FINRA Rule 2150 prohibits member firms and associated persons from making improper use of a customer’s securities or funds. The rule is commonly referenced in matters involving the alleged misuse, misapplication, or conversion of customer assets.
Why This Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.
Reg BI is built around four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
- Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
- Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
- Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.
Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.
Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on his BrokerCheck Report, Matthew Moore:
Is currently employed by and registered with Truist Advisory Services, Inc. and Truist Investment Services, Inc.
Has passed the Securities Industry Essentials (SIE), Series 7, and Series 66 exams.
Was previously registered with Edward Jones.
Kurta Law Can Help
If you have worked with Matthew Moore and you have concerns about his activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
Helpful resources: Unsuitable Investments | Stockbroker Fraud
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