Defendant Name:
Gordon R. Moore
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Gordon R. Moore
First Document Date
01-Aug-2008
Initial Filing Format
Administrative Action
File Number
3-13113
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Broker/Registered Representative at AXA Advisors, LLC (June 1, 2001—July 23, 2007)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
