Tim Moran Investigated by Securities Attorneys

Timothy Moran, an investment professional in Scottsdale, Arizona, is being investigated by the securities attorneys as the Peiffer Rosca law firm, following his permanent bar from the securities industry for allegedly referring his customers to an investment program that was fraudulent, and providing false information to securities industry regulators.

Moran allegedly failed to respond to charges filed against him by the Financial Industry Regulatory Authority (FINRA).  The regulators found Moran in default and permanently banned him from associating with any securities industry firm in any capacity.

Moran was charged with allowing a private hedge fund to operate from his offices and also loaning money to the fund manager to help start operations.

The fund began accepting investors around October 2010. Moran introduced many of his customers to that private investment pool between October 2010 and June 2011, as alleged by FINRA.

On a number of occasions, Moran recommended that his customers invest or consider investing in that investment pool, or participated in meetings, phone conversations or communications between his customers and Hampton, according to the regulators’ charges.

Approximately twenty-six of Moran’s customers ended up investing nearly $1.69 million in that investment pool, according to securities industry regulators.

The investment pool was shut down by the Arizona Corporation Commission on November 10, 2011 after allegations of fraud and securities and commodities law violations.

The pool’s operator pled guilty to fraud charges in connection with that investment scheme, admitting that he concealed millions of dollars in losses incurred.  No charges have been filed against Moran, and everyone is presumed innocent unless otherwise found by a court of law.

The Peiffer Rosca securities lawyers are investigating the possibility of assisting Moran investors with the recovery of their losses. They often represent investors who lose money as a result of Ponzi schemes, investment fraud, or stockbroker misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of investment fraud or misconduct may contact the securities lawyers at Peiffer Rosca, Alan Rosca or Joe Peiffer, for a free, no obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.