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WARNING! Impending Investigation–TIMOTHY D. MORAN, FSC SECURITIES CORP. and HAMPTON CAPITAL MARKETS

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20
Mar

WARNING! Impending Investigation–TIMOTHY D. MORAN, FSC SECURITIES CORP. and HAMPTON CAPITAL MARKETS

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Timothy D. Moran, FSC Securities Corporation, and Hampton Capital Markets

Have you lost money with financial advisor Timothy D. Moran?  We are investigating allegations made by the Arizona Corporation Commission against Timothy D. Moran, who is a financial advisor from Scottsdale, Arizona.  Moran had his securities licensed revoked because of his connection with a private hedge fund called Hampton Capital Markets.

The Arizona Corporation Commission alleged that Timothy Moran introduced and referred investors to Hampton Capital Markets, and its founder and manager, Thomas L. Hampton.  Hampton Capital Markets purportedly traded ETFs that involved a “low-latency index derivative arbitrate” strategy using the S&P 500 index.  Unfortunately, Hampton Capital Markets was simply a fraudulent scheme, and Thomas Hampton was convicted of fraud, sentenced to 30 months in prison, and fined $4.9 million.

FINRA, the Financial Industry Regulatory Authority, previously barred Timothy D. Moran from the securities industry back in 2013.  Moran was also fined $200,000.

Timothy D. Moran was a financial advisor and registered representative of FSC Securities Corporation from May 2010 to December 2011, and with Cambridge Investment Research, Inc. from June 2008 to April 2010. Moran worked at a branch office in Scottsdale, Arizona.

Brokerage firms like FSC Securities Corporation and Cambridge Investment Research have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented hundreds of investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we currently and have also previously represented clients in Arizona.  If you have lost money with Timothy D. Moran, Thomas L. Hampton, Hampton Capital Markets, or FSC Securities Corporation and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view Arizona Consent:  Moran AZ Consent

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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