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DID JOHN DOHERTY CAUSE YOU INVESTMENT LOSSES?

John Doherty Of Merrill Lynch Pierce Fenner & Smith Inc. Has 3 Customer Complaints For Alleged Broker Misconduct

Who is John Doherty of Merrill Lynch Pierce Fenner & Smith Inc.?

John Doherty (CRD #1410645) who is currently registered with Merrill Lynch Pierce Fenner & Smith Inc. and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.

John Doherty Customer Complaints

John Doherty has been the subject of 3 customer complaints that we know about. One of John Doherty’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Merrill Lynch Pierce Fenner & Smith Inc. for investment losses caused by John Doherty’s alleged misconduct.

Allegations Against John Doherty

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

  • The customer alleged misappropriation of funds by John Doherty.
  • The customer alleged that John Doherty, acting as the former trustee of the revocable trust, as the former agent in fact for customer and as his financial advisor, misappropriated funds.
  • The customers alleged John Doherty’s unsuitable investment recommendations.

John Doherty Red Flags & Your Rights As An Investor

Of course, John Doherty 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 John Doherty at Merrill Lynch Pierce Fenner & Smith Inc. on alert to review carefully the activity and performance of their accounts and question whether John Doherty 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 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 Inc. Due To John Doherty

If you have questions about Merrill Lynch Pierce Fenner & Smith Inc. and/or John Doherty 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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