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David Alford Of Raymond James & Associates And Formerly With Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct

Who is David Alford of Raymond James & Associates?

David Alford (CRD #1711320) who is currently registered with Raymond James & Associates and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, David Alford was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

David Alford Customer Complaints

David Alford has been the subject of 3 customer complaints that we know about. Three of David Alford’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against David Alford

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 David Alford’s failure to follow instructions.
  • Client alleged that her managed account was churned by David Alford.
  • The customer alleges unauthorized trading by David Alford.

David Alford Red Flags & Your Rights As An Investor

Of course, David Alford 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 David Alford at Raymond James & Associates and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether David Alford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates and 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 Raymond James & Associates and Merrill Lynch Pierce Fenner & Smith Due To David Alford

If you have questions about Raymond James & Associates, Merrill Lynch Pierce Fenner & Smith, and/or David Alford 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 has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

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