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Ivan Williams, IV Of Merrill Lynch, Pierce, Fenner & Smith Incorporated And Formerly With Charles Schwab & Co., Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Ivan Williams, IV of Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Ivan Williams, IV (CRD #5610678) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Tulsa, Oklahoma, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Merrill Lynch, Pierce, Fenner & Smith, Ivan Williams, IV was associated with Charles Schwab & Co., Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ivan Williams, IV Customer Complaint

Ivan Williams, IV has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the financial advisor failed to follow the client’s instructions related to the purchase of a mutual fund. Ivan Williams former employer denied the complaint and, today, the customer has not taken any further action.

Ivan Williams, IV Red Flags & Your Rights As An Investor

Of course, Ivan Williams, IV 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 Ivan Williams, IV at Merrill Lynch, Pierce, Fenner & Smith and Charles Schwab & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Ivan Williams, IV 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 Charles Schwab & Co., Inc. 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 Ivan Williams, IV

If you have questions about Merrill Lynch, Pierce, Fenner & Smith, Charles Schwab & Co., Inc. and/or Ivan Williams, IV 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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