FINRA

NASD RULES 2110, 8210: MOORE FALSIFIED DOCUMENTS CONCERNING THE 401K ACCOUNTS OF SOME PUBLIC CUSTOMERS AND FALSELY REPRESENTED THE EMPLOYMENT STATUS OF THE ACCOUNT HOLDERS, AND AFFIXED, WITHOUT AUTHORIZATION, THE SIGNATURE OF A PAYROLL/HUMAN RESOURCES REPRESENTATIVE ON EACH OF THE FALSIFIED FORMS. MOORE ADVISED FINRA THAT HE WOULD NOT RESPOND TO FINRA'S REQUEST FOR CERTAIN INFORMATION AND DOCUMENTS RELEVANT AND NECESSARY FOR INVESTIGATION OF THE ALLEGATIONS AND TO DATE HE HAS FAILED TO RESPOND TO FINRA'S REQUEST.

Acceptance, Waiver & Consent(AWC)

Bar

WITHOUT ADMITTING OR DENYING THE FINDINGS, MOORE CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.

STATE OF COLORADO, DIVISION OF INSURANCE

ON 2/26/2008, MR. MOORE WAS SENTENCED TO 2 YEARS OF PROBATION ON COUNT 1 (THEFT OF $15,000 OR MORE), COUNT 2 (COMPUTER CRIME-COMMIT THEFT OVER $15,000) AND COUNT 45 (SECURITIES-FRAUD OR DECEIT).

Order

Monetary/Fine

$2,000.00

Revocation/Expulsion/Denial

REVOCATION OF COLORADO INSURANCE PRODUCER LICENSE. A CIVIL PENALTY OF $2,000.00.

RESPONDENT IS BARRED FROM REAPPLYING FOR LICENSURE AS AN INSURANCE PRODUCER IN COLORADO FOR A PERIOD OF 2 YEARS FROM THE DATE OF THE FINAL AGENCY ORDER AND PROVIDED THAT RESPONDENT HAS SUCCESSFULLY COMPLETED THE TERMS OF HIS PROBATION AND MET ALL TERMS OF PROBATION INCLUDING THE PAYMENT OF ALL RESTITUTION IN DENVER DISTRICT COURT CASE NUMBER 07CR10369 AND PROVIDES PROOF OF SUCH COMPLETION.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

SEC ADMIN RELEASE 34-58293, IA RELEASE 40-2766, AUGUST 1, 2008: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND SECTION 203(F) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AGAINST GORDON R. MOORE ("RESPONDENT" OR "MOORE"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT (THE "OFFER") WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. ON AUGUST 24, 2007, IN CASE NO. 07CR10369 IN THE DISTRICT COURT FOR THE CITY AND COUNTY OF DENVER, MOORE WAS CHARGED WITH FORTY-FIVE FELONY COUNTS OF SECURITIES FRAUD, THEFT, COMPUTER CRIME, CRIMINAL IMPERSONATION, FORGERY, AND ATTEMPT TO INFLUENCE A PUBLIC OFFICIAL. ON JANUARY 8, 2008, MOORE PLED GUILTY TO ONE COUNT EACH OF THREE CLASS THREE FELONIES: SECURITIES FRAUD, THEFT, AND COMPUTER CRIME. ON FEBRUARY 26, 2008, MOORE WAS SENTENCED TO TWO YEARS PROBATION AND ORDERED TO PAY CRIMINAL RESTITUTION IN AN AMOUNT BASED ON THE COMMISSIONS HE EARNED FROM HIS FRAUDULENT ACTIVITIES.

Order

Bar

SOLELY FOR THE PURPOSE OF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BY OR ON BEHALF OF THE COMMISSION, OR TO WHICH THE COMMISSION IS A PARTY, AND WITHOUT ADMITTING OR DENYING THE FINDINGS HEREIN, EXCEPT AS TO THE COMMISSION'S JURISDICTION OVER HIM AND THE SUBJECT MATTER OF THESE PROCEEDINGS, AND THE FINDINGS WHICH ARE ADMITTED, RESPONDENT CONSENTS TO THE ENTRY OF THIS ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(B)OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(F) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS ("ORDER"). IT IS HEREBY ORDERED: PURSUANT TO SECTION 15(B)(6) OF THE EXCHANGE ACT AND SECTION 203(F) OF THE ADVISERS ACT, THAT RESPONDENT MOORE BE, AND HEREBY IS BARRED FROM ASSOCIATION WITH ANY BROKER, DEALER, OR INVESTMENT ADVISER; ANY REAPPLICATION FOR ASSOCIATION BY THE RESPONDENT WILL BE SUBJECT TO THE APPLICABLE LAWS AND REGULATIONS GOVERNING THE REENTRY PROCESS, AND REENTRY MAY BE CONDITIONED UPON A NUMBER OF FACTORS, INCLUDING, BUT NOT LIMITED TO, THE SATISFACTION OF ANY OR ALL OF THE FOLLOWING: (A) ANY DISGORGEMENT ORDERED AGAINST THE RESPONDENT, WHETHER OR NOT THE COMMISSION HAS FULLY OR PARTIALLY WAIVED PAYMENT OF SUCH DISGORGEMENT; (B) ANY ARBITRATION AWARD RELATED TO THE CONDUCT THAT SERVED AS THE BASIS FOR THE COMMISSION ORDER; (C) ANY SELF-REGULATORY ORGANIZATION ARBITRATION AWARD TO A CUSTOMER, WHETHER OR NOT RELATED TO THE CONDUCT THAT SERVED AS THE BASIS FOR THE COMMISSION ORDER; AND (D) ANY RESTITUTION ORDER BY A SELF-REGULATORY ORGANIZATION, WHETHER OR NOT RELATED TO THE CONDUCT THAT SERVED AS THE BASIS FOR THE COMMISSION ORDER.

FORTY-FIVE FELONY COUNTS OF SECURITIES FRAUD, THEFT, COMPUTER CRIME, CRIMINAL IMPERSONATION, FORGERY, AND ATTEMPT TO INFLUENCE A PUBLIC OFFICIAL.

FELONY

SEC ADMIN RELEASE 34-58293, IA RELEASE 40-2766, AUGUST 1, 2008: ON JANUARY 8, 2008, MOORE PLED GUILTY TO ONE COUNT EACH OF THREE CLASS THREE FELONIES: SECURITIES FRAUD, THEFT, AND COMPUTER CRIME. ON FEBRUARY 26, 2008, MOORE WAS SENTENCED TO TWO YEARS PROBATION AND ORDERED TO PAY CRIMINAL RESTITUTION IN AN AMOUNT BASED ON THE COMMISSIONS HE EARNED FROM HIS FRAUDULENT ACTIVITIES.