Arbitration Involving Merrill Lynch Rep Tom Moore Settles


Tom Moore (CRD #: 2526192), a New York City broker registered with Merrill Lynch, Pierce, Fenner, & Smith was recently involved in a six figure settlement, according to his BrokerCheck record, accessed on November 2, 2021. This is his fifth disclosure and his third disclosure related to unsuitable investment recommendations. Excessive Trading Complaint Settles for […]