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

Who is Carol James formerly with Merrill Lynch Pierce Fenner & Smith?

Carol James (CRD #1635714) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.

Carol James Customer Complaints

Carol James has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Carol James’ 2 customer complaints was settled in favor of investors. One of Carol James’ customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Carol James

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

  • Client alleged Carol James’ misrepresentation and unsuitability concerning auction market securities.
  • Through their attorney, the customer alleged Carol James’ improper solicitation of a Trusteed IRA.

Carol James Red Flags & Your Rights As An Investor

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

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Carol James 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.

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