DID KEITH F. SIMMONS CAUSE YOU INVESTMENT LOSSES?
Keith Simmons Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 4 Customer Complaints For Alleged Broker Misconduct
Keith Simmons Customer Complaints
Keith Simmons has been the subject of 4 customer complaints that we know about to recover investment losses. All 4 customer complaints were settled by Merrill Lynch Pierce Fenner and Smith in favor of the investors.
Allegations Against Keith Simmons
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Misrepresentation regarding the liquidity and risk of auction rate securities.
- Unsuitable investment recommendations.
- Financial advisor over sold shares of Alpine A’s Brands without customer’s authorization.
- Unsuitable investment recommendations of equity listed common and preferred stocks.
Keith Simmons Red Flags & Your Rights As An Investor
Of course, Keith Simmons 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 Keith Simmons at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Keith Simmons 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 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 Incorporated Due To Keith Simmons
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Keith Simmons 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.