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Barry Rubin Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Barry Rubin of Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Barry Rubin (CRD #2176696) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Delray Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. 

Barry Rubin Customer Complaints

Barry Rubin has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Barry Rubin’s 3 customer complaints resulted in an Award in favor of investor. One of Barry Rubin’s customer complaints was settled in favor of investors. One of Barry Rubin’s customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Barry Rubin

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

  • Unauthorized transactions resulting in an arbitration award to customer.
  • Trustee failed to pay insurance premiums resulting in policy lapse.
  • Unsuitable investment recommendations involving mutual funds.

Barry Rubin Red Flags & Your Rights As An Investor

Of course, Barry Rubin 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 Barry Rubin at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Barry Rubin 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 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 Incorporated Due To Barry Rubin

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Barry Rubin 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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