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It’s critical for everyone to understand as much as possible about the individuals with whom they entrust their money. Background checks are available from a variety of places, including regulatory disciplinary actions, past employment history, and customer complaints.

Our firm can help you if you have additional concerns about Charles Friedlander or investment losses you’ve incurred. We’ll do our best to answer any questions you might have.


Charles Friedlander Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Charles Friedlander formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Charles Friedlander (CRD #1766198) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Garden City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  

Charles Friedlander Customer Complaints

Charles Friedlander 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 Charles Friedlander’s 3 customer complaints was settled in favor of investors. Two of Charles Friedlander’s customer complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Charles Friedlander

A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations related to mutual funds and master limited partnerships.
  • Unsuitable investment recommendations and unauthorized trading related to closed-end funds.
  • Failure to invest in securities that would produce safe modest returns.

Charles Friedlander Red Flags & Your Rights As An Investor

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

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