| Read Time: 2 minutes |

DID JEREMY CHARLES NEWTON CAUSE YOU INVESTMENT LOSSES?

Jeremy Charles Newton of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Jeremy C. Newton with Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Jeremy Newton Customer Complaints

Jeremy Newton has been the subject of 2 customer complaints that we know about. One of Jeremy Newton’s customers complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Jeremy Newton’s current employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct.

Allegations Against Jeremy Newton

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

  • The customer alleges Jeremy Newton’s misrepresentation and failure to follow instructions.
  • Customers allege that Jeremy Newton did not keep them informed of the liquidity issues regarding auction rate securities and that financial advisor represented that an investment in auction rate securities was liquid.

Jeremy Newton Red Flags & Your Rights As An Investor

Of course, Jeremy Newton 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 Jeremy Newton at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeremy Newton 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 Morgan Stanley also raises questions about 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

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley and/or Jeremy Newton 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...