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James Morner Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct

Who is James Morner of Merrill Lynch, Pierce, Fenner & Smith Incorporated?

James Morner (CRD #4977718) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Seal Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, James Morner was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Morner Customer Complaints

James Morner has been the subject of 2 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Merrill Lynch, Pierce, Fenner and Smith Incorporated in favor of the investor. The brokerage firm denied the other customer complaint and no further action was taken by the customer.

Allegations Against James Morner

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

  • The financial advisor and allegedly made investment purchases in his accounts without customer’s consent.
  • Unsuitable investment recommendations.

James Morner Red Flags & Your Rights As An Investor

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

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or James Morner 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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