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Thorne James of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct 

Who is L James of Merrill Lynch Pierce Fenner & Smith?

Thorne James (CRD #846353) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.

Thorne James Customer Complaint

Thorne James has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. Two of Thorne James’ 2 customers’ complaints were settled in favor of the investors.

Allegations Against Thorne James

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 alleges unauthorized trading by Thorne James.
  • Thorne James allegedly solicited the purchase of a stock. Customer complained that the risk of loss was not fully disclosed.

L James Red Flags & Your Rights As An Investor

Of course, L James 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 L James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether L James 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 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 L James

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or L James 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 $170 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.

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