DID RAYMOND JOSEPH MARQUEZ CAUSE YOU INVESTMENT LOSSES?
Raymond Marquez Of Merrill Lynch Pierce Fenner & Smith And Formerly With Charles Schwab Co. And Schwab Private Client Investment Advisory Has A Customer Complaint For Alleged Broker Misconduct
Who is Raymond Marquez of Merrill Lynch Pierce Fenner & Smith?
Raymond Marquez (CRD #4890804) 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. Prior to Merrill Lynch Pierce Fenner & Smith, Raymond Marquez was associated with Charles Schwab Co., Schwab Private Client Investment Advisory and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Raymond Marquez Customer Complaint
Raymond Marquez has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged that he gave Raymond Marquez verbal authorization to place trades in his account on January 2 and that the trades should have been placed no later than the next business day. Raymond Marquez’s customer complaint was settled in favor of the investors.
File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Raymond Marquez
Of course, Raymond Marquez 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 Raymond Marquez at Merrill Lynch Pierce Fenner & Smith, Charles Schwab Co., and Schwab Private Client Investment Advisory on alert to review carefully the activity and performance of their accounts and question whether Raymond Marquez 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, Charles Schwab Co., and Schwab Private Client Investment Advisory 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.
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If you have questions about Merrill Lynch Pierce Fenner & Smith, Charles Schwab Co., Schwab Private Client Investment Advisory, and/or Raymond Marquez 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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