| Read Time: 2 minutes | Merrill Lynch Complaints |

It is critical for everyone to understand as much as possible about the people with whom they entrust their money. There are several places where you may discover information about a person’s background, including their past job history, regulatory disciplinary actions, and consumer complaints.

Important information like this may lead to questions about Charles Gaba and your investment losses. We’ll do our best to answer any concerns you have.


Charles Gaba Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct

Who is Charles Gaba of Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Charles Gaba (CRD #2979469) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Little Rock, Arkansas is a subject of one of our many securities industry sales practice abuse investigations.  

Charles Gaba Customer Complaint

Charles Gaba 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 unauthorized liquidation of corporate bonds. The customer complaint filed against Charles Gaba’s current employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by the alleged misconduct is pending as of the date of this report.

Charles Gaba Red Flags & Your Rights As An Investor

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

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