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

Who is Richard Hogan formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Richard Hogan

Richard Hogan (CRD #1754577) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in San Francisco, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Richard Hogan was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Hogan has had his own regulatory problems. In 2021, without admitting or denying the allegations, Richard Hogan consented to the sanctions of a 12 month suspension and $10,000 fine and to the entry of findings that he participated in private securities transactions in Asia based funds without providing prior written notice to his member firm.

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Richard Hogan Customer Complaint

Richard Hogan 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 for selling away, that is, investing clients funds in securities that were not approved by his firm.

Richard Hogan Red Flags & Your Rights As An Investor

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

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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 Richard Hogan

If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Richard Hogan 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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