DID DAVID MARQUIS CAUSE YOU INVESTMENT LOSSES?
David Marquis Of Merrill Lynch Pierce Fenner & Smith And Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct
Who is David Marquis of Merrill Lynch Pierce Fenner & Smith?
David Marquis (CRD #5546969) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Newport Beach, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, David Marquis was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
David Marquis Customer Complaint
David Marquis 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 clients were not informed that moving their funds from a variable annuity to an investment account would cause a tax liability. David Marquis’ customer complaint was denied and, to date, the customers have not taken any further action.
David Marquis Red Flags & Your Rights As An Investor
Of course, David Marquis 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 Marquis at Merrill Lynch Pierce Fenner & Smith and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether David Marquis 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 and AXA Advisors 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 Due To David Marquis
If you have questions about Merrill Lynch Pierce Fenner & Smith, AXA Advisors, and/or David Marquis 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.