Kelly Ray Moore

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/14/2025: Moore refused to provide information and documents requested pursuant to FINRA Rule 8210, in violation of FINRA Rules 8210 and 2010. For these violations, Moore is barred from associating with any FINRA member in all capacities.
Reference 2023079506301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1599385

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.