It’s critical for everyone to understand all they can about the individuals with whom they entrust their money. A person’s previous employment history, regulatory enforcement activities, and consumer complaints are just a few of the places where you may learn more about them.
If you incurred investment losses as a result of Chad Spezia, we’ll do everything we can to address any worries you may have.
DID CHAD BRIAN SPEZIA CAUSE YOU INVESTMENT LOSSES?
Chad Spezia Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With PNC Investments Has A Customer Complaint For Alleged Broker Misconduct
Who is Chad Spezia of Merrill Lynch, Pierce, Fenner & Smith Incorporated?
Chad Spezia (CRD #6181656) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Troy, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Chad Spezia was associated with PNC Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Chad Spezia Customer Complaint
Chad Spezia has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Chad’s Spezia failed to follow customer’s instructions with respect to a wrap fee account. Chad Spezia’s customer complaint was settled in favor of the investor.
Chad Spezia Red Flags & Your Rights As An Investor
Of course, Chad Spezia 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 Chad Spezia at Merrill Lynch, Pierce, Fenner & Smith Incorporated and PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Chad Spezia 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 PNC Investments 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 Incorporated Due To Chad Spezia
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, PNC Investments, and/or Chad Spezia 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.