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Charles Sergewick Of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Charles Sergewick of Merrill Lynch Pierce Fenner & Smith?

Charles Sergewick (CRD #1672773) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Toms River, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.

Charles Sergewick Customer Complaints

Charles Sergewick 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. Both of Charles Sergewick’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Charles Sergewick

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

  • The client alleged Charles Sergewick did not explain the features of his annuity to him.
  • The customer alleged Charles Sergewick’s unsuitable investment recommendations.

Charles Sergewick Red Flags & Your Rights As An Investor

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

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Charles Sergewick 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 $160 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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