| Read Time: 2 minutes | Merrill Lynch Complaints |


Andrew O’Brien Of Merrill Lynch Pierce Fenner & Smith And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct

Who is Andrew O’Brien of Merrill Lynch Pierce Fenner & Smith?

Andrew O’Brien (CRD #5769526) who is currently registered with Merrill Lynch Pierce Fenner & Smithand located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Andrew O’Brien was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Andrew O’Brien Customer Complaint

Andrew O’Brien has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged misrepresentation regarding managed account.  Andrew O’Brien’s customer complaint was denied and, to date, the customer has not taken any further action.

Andrew O’Brien Red Flags & Your Rights As An Investor

Of course, Andrew O’Brien 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 Andrew O’Brien at Merrill Lynch Pierce Fenner & Smith and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Andrew O’Brien 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 and J.P. Morgan Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Andrew O’Brien

If you have questions about Merrill Lynch Pierce Fenner & Smith, J.P. Morgan Securities, and/or Andrew O’Brien 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars