DID ROBERTO A FERNANDEZ CAUSE YOU INVESTMENT LOSSES?
Roberto Fernandez of Merrill Lynch Pierce Fenner & Smith Has 6 Customer Complaints For Alleged Broker Misconduct
Who is Roberto Fernandez of Merrill Lynch Pierce Fenner & Smith?
Roberto Fernandez (CRD #1404389) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations.
Roberto Fernandez Customer Complaints
Roberto Fernandez has been the subject of 6 customer complaints that we know about. Three of Roberto Fernandez’s 6 customer complaints were settled in favor of investors. Two of Roberto Fernandez’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Merrill Lynch Pierce Fenner & Smith for investment losses caused by Roberto Fernandez’s alleged misconduct.
Allegations Against Roberto Fernandez
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 alleged Roberto Fernandez’s unauthorized trading, unsuitable investment recommendations and misrepresentation and omission of material facts.
- The customer alleged unsuitable investment recommendations and misrepresentation by Roberto Fernandez.
- The customers alleged Roberto Fernandez’s unsuitable investment recommendations, unauthorized trading and misrepresentation and omission of material facts.
- The customers, through their owner, allege unsuitable investment recommendations and misrepresentation by Roberto Fernandez.
Roberto Fernandez Red Flags & Your Rights As An Investor
Of course, Roberto Fernandez 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 Roberto Fernandez at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Roberto Fernandez 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 Roberto Fernandez
If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Roberto Fernandez 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.