| Read Time: 2 minutes |

DID JOSE ALBERTO CASELLAS SR CAUSE YOU INVESTMENT LOSSES?

Jose Alberto Casellas Sr with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Jose A. Casellas Sr with Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Jose Casellas (CRD #2638747) who is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jose Casellas was associated with 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct

In his career, Jose Casellas has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both customer complaints filed against Jose Casellas’ current employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct are pending.

Allegations Against Jose Casellas  

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

  • Customer alleged misrepresentations in unsuitable investment recommendations of Puerto Rico bonds.
  • The customer alleges misrepresentation, unsuitable investment recommendations and unauthorized trading related to municipal bonds.

Jose Casellas Red Flags & Your Rights As An Investor

Of course, Jose Casellas 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 Jose Casellas at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jose Casellas 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 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 and/or Jose Casellas 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 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 $125 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...