| Read Time: 2 minutes |


Anthony Williams Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Anthony Williams formerly with Merrill Lynch Pierce Fenner & Smith?

Anthony Williams (CRD #710963) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Huntington, West Virginia is a subject of one of our many securities industry sales practice abuse investigations.

Stephen Whittaker Customer Complaints

Anthony Williams has been the subject of 2 customer complaints that we know about. One of Anthony Williams’ 2 customer complaints was settled in favor of investors. One of Anthony Williams’ customers’ complaints was denied and, to date, the customers have not taken any further action.

Allegations Against Anthony Williams

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • The client claims that he wanted a “safe” portfolio and Anthony Williams allegedly did not follow his directions.
  • The customer’s attorney alleged Anthony Williams’ excessive trading.

Anthony Williams Red Flags & Your Rights As An Investor

Of course, Anthony Williams 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 Anthony Williams at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Anthony Williams 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 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.

File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Anthony Williams

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Anthony Williams 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 has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars