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Options for Clients of Merrill Lynch Broker Thomas Moore

Posted on Monday, March 15th, 2021 at 10:20 pm    

Merrill Lynch

Were you the victim of Merrill Lynch broker Thomas Moore (CRD# 2526192)? Moore has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York since 2006. 

Moore has been the subject of five customer complaints between 2003 and 2020, one of which was denied, according to his CRD report. The most recent complaint is regarding: 

October 2020. “The customer alleges unsuitable investment recommendations, excessive trading, misrepresentations and omission of material facts from January 2011 until January 2020.” The case is currently pending. The complaint was regarding mutual funds. 

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 may be liable for investment or other losses suffered by Moore’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.