Investors potentially incurred losses because of securities broker Robert Lewis Moon [CRD: 2431875, Bethesda, Maryland], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Moon worked for Merrill Lynch from August 29, 2008, to November 6, 2023, and later registered with Rockefeller Financial LLC and Rockefeller Capital Management beginning November 3, 2023. Investors can see below to find out more about the disclosures associated with Moon’s professional history.
Evidently, on December 20, 2024, a Merrill Lynch client filed FINRA Arbitration No. 24-02658 regarding Robert Moon. Primarily, the client alleged that Moon misappropriated funds, engaged in unauthorized trading, and participated in excessive trading. Because of these allegations, the client reportedly experienced damages. Consequently, the client requested $4,490,000 from Merrill Lynch or Moon. It appears that this arbitration is pending a resolution.
Also, a client of Citigroup Global Markets Inc. disputed Moon’s sales practices, according to a complaint. Allegedly, Moon made omissions by failing to inform the client about original issue discount interest. It appears that Moon allegedly caused the client to sustain damages associated with corporate bonds. Therefore, Citigroup Global Markets Inc. opted to settle the matter on May 16, 2006, by compensating the client in the amount of $27,000.
Did you experience losses because of Robert Moon? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Moon and brokerage firms Moon worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com