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Robert Bolber Allegedly Engaged in Unauthorized Trading

Robert Bolber (CRD #: 1433513), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, has an investor dispute on his record. This disclosure appears on his BrokerCheck record, accessed on February 13, 2023. Keep reading if you have questions regarding his conduct. 

On October 11, 2023, an investor allegedly engaged in unauthorized trading. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration

Unauthorized Trading

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. Discretionary accounts must also be approved by the firm before this trading can occur.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading violates this rule. 

Background Information 

Robert Bolber has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 30 states and is a registered investment adviser in Florida and Texas. 

Besides Merrill Lynch, Robert Bolber has also registered with GreenTree Securities Corp. (CRD #: 7372). 

Kurta Law Can Help 

If you have worked with Robert Bolber and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.