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Joseph Duffy Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct

Who is Joseph Duffy of Merrill Lynch Pierce Fenner & Smith?

Joseph Duffy (CRD #7145673) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in White Plains, New York is a subject of one of our many securities industry sales practice abuse investigations.

Joseph Duffy Customer Complaint

Joseph Duffy has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Joseph Duffy’s failure to follow instructions on March 25, 2020. Joseph Duffy’s customer complaint was settled in favor of the investors.

Joseph Duffy Red Flags & Your Rights As An Investor

Of course, Joseph Duffy 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 Joseph Duffy at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Joseph Duffy 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 also raises questions about the brokerage firm’s 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 Joseph Duffy

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Joseph Duffy 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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