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FINRA Awards for Robert Moore

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0187712/29/2017Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
Checkmark Icon$0
12-0227512/05/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance, In
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Robert Moore
Respondent Lawyers(s): Robert H. Moore
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY

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