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Alexandra Babb Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Oppenheimer & Co. Inc Has A Customer Complaint For Alleged Broker Misconduct

Who is Alexandra Babb of Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Alexandra Babb

Alexandra Babb (CRD #5896187) who is currently registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Virginia Beach, Virginia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Alexandra Babb was associated with Oppenheimer & Co. Inc and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Alexandra Babb Customer Complaint

Alexandra Babb has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client was allegedly not consulted on transactions effected in a discretionary managed account which created unwanted tax implications. Oppenheimer & Co. denied the customer complaint recently. So far, the client has not filed any arbitration proceeding or taken any other action.

Thomas Avant Red Flags & Your Rights As An Investor

Of course, Alexandra Babb did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alexandra Babb at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Oppenheimer & Co. Inc on alert to review carefully the activity and performance of their accounts and question whether Alexandra Babb has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Oppenheimer & Co. Inc also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Alexandra Babb

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Oppenheimer & Co. Inc and/or Alexandra Babb and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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