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Emilio Guajardo Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With BB&T Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Emilio Guajardo of Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Emilio Guajardo (CRD #4871764) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in The Woodlands, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Emilio Guajardo was associated with BB&T Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Emilio Guajardo Customer Complaints

Emilio Guajardo has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Emilio Guajardo’s 2 customer complaints was settled in favor of the investor. There is currently 1 pending customer complaint filed against Emilio Guajardo’s former employer BB&T Securities, LLC for investment losses caused by the alleged misconduct.

Allegations Against Emilio Guajardo

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

  • Recommendation of unit investment trust investment that was inconsistent with customers objectives of safety of principal.
  • Unsuitable investment recommendations of an unit investment trust.

Emilio Guajardo Red Flags & Your Rights As An Investor

Of course, Emilio Guajardo 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 Emilio Guajardo at Merrill Lynch, Pierce, Fenner & Smith Incorporated and BB&T Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Emilio Guajardo 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 and BB&T Securities, LLC 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 Emilio Guajardo

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, BB&T Securities, LLC, and/or Emilio Guajardo 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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