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Michael Moultrie Allegedly Misrepresented Investments

Michael Moutlrie (CRD #: 2338702), a broker registered with Cetera Investment Services, is the subject of an investor dispute, according to his BrokerCheck record, accessed on September 29, 2023. Keep reading for more details. 

On June 30, 2023, an investor alleged that Michael Moultrie misrepresented investments. 

FINRA Rule 2020 – Misrepresentation

FINRA Rule 2020 prohibits the misrepresentation of investments or omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Michael Moultrie has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in ten states and is a registered investment adviser in Tennessee and Texas. 

Michael Moultrie has registered with the following firms: 

  • Cetera Investment Services (CRD #: 15340) 
  • Cetera Investment Advisers (CRD #: 105644) 
  • BB&T Investment Services (CRD #: 33856) 
  • UVest Financial Services (CRD #: 13787) 
  • Wall Street Financial Group (CRD #: 35830) 
  • M Holdings Securities (CRD #: 43285) 
  • Mutual Service Corporation (CRD #: 4806) 
  • Royal Alliance Associates (CRD #: 23131) 

Kurta Law Can Help

If you worked with Michael Moultrie and 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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