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. […]

Ameriprise, Joseph Lawrence Peggs Face Customer Disputes Joseph Lawrence Peggs (CRD#: 1219721, Seminole, Florida) has been an Ameriprise Financial Services financial advisor since November 6, 2015. Peggs’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile shows that at least six investors of Ameriprise Financial Services and NFP Securities, Inc. have disputes Peggs’ sales practices. Those customers […]

AFinancial Industry Regulatory Authority Inc. (FINRA) arbitration panel awarded a San Diego investor the entire amount of her claim, $1.67 million in compensatory and punitive damages, against broker, DAVID LLOYD BARBER CRD#: 1165082, and his firm, MADISON AVENUE SECURITIES. DAVID LLOYD BARBER was ordered to pay his former client $1.2 million of the compensatory and […]