Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Moon (Moon), currently associated with Rockefeller Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Moon concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $4,490,000.00 on December 20, 2024.
Client alleges misappropriation of funds, unauthorized trades, and excessive trading.
