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Mark Jones of Merrill Lynch Pierce Fenner & Smith Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Mark Jones of Merrill Lynch Pierce Fenner & Smith?

Mark Jones (CRD #261512) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations.

Mark Jones Customer Complaints

Mark Jones has been the subject of 9 customer complaints that we know about. One of Mark Jones’ 9 customer complaints resulted in an arbitration award in favor of the investors. Eight of Mark Jones’ 9 customer complaints were settled in favor of investors.

Allegations Against Mark Jones

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

  • Customer alleged Mark Jones’ breach of agreement to invest in an outside business venture. 
  • Client alleged he had significant losses in covered call trades due to discretionary trading by Mark Jones. 
  • The customer alleged failure to follow instructions by Mark Jones.
  • The customer alleged misrepresentation by Mark Jones.
  • The customers alleged unsuitable investment recommendations and misrepresentation and omission of material facts allegedly committed by Mark Jones.
  • Unsuitable investment recommendations allegedly made by Mark Jones.

Mark Jones Red Flags & Your Rights As An Investor

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

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Mark Jones 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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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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