DID MICHAEL PHILLIP SWENSON CAUSE YOU INVESTMENT LOSSES?

Michael Swenson Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct

Who is Michael Swenson formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Michael Swenson (CRD #1939942) who was formerly registered as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Wayzata, Minnesota, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Michael Swenson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Swenson has had his own regulatory problems. He failed to respond to a FINRA request for information and was permanently barred from any further Association with any member firm in any capacity. Prior thereto, he was terminated for conduct involving exercising discretion and nondiscretionary client accounts and submission of inaccurate business expense reimbursement reports.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Michael Swenson Customer Complaint

Michael Swenson has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to follow instructions of customer. Merrill Lynch Pierce Fenner and Smith settled the customer complaint in favor of the investor.

Michael Swenson Red Flags & Your Rights As An Investor

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

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Michael Swenson

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Michael Swenson 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.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 45 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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