Erez Law is currently investigating former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Robert Moon (CRD# 2431875) regarding unauthorized trading. He has been registered with Rockefeller Financial LLC in Bethesda, Maryland, since 2023, and Rockefeller Capital Management in Bethesda, Maryland, since 2023. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Washington, D.C., from 2008 to 2023.
Robert Moon Customer Complaints
He has been the subject of two customer complaints between 2006 and 2024, according to his CRD report:
December 2024. “Client alleges misappropriation of funds, unauthorized trades, and excessive trading.” The customer is seeking $4,490,000 in damages, and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Merrill Lynch, Pierce, Fenner & Smith Incorporated may be liable for investment or other losses suffered by Robert Moon’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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