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Virginia Giuffre Formerly With Merrill Lynch Pierce Fenner & Smith Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Virginia Giuffre formerly with Merrill Lynch Pierce Fenner & Smith?

Virginia Giuffre (CRD #2401328) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Westport, Connecticut is a subject of one of our many securities industry sales practice abuse investigations.

Virginia Giuffre Customer Complaints

Virginia Giuffre has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Virginia Giuffre’s 3 customer complaints was settled in favor of investors. One of Virginia Giuffre’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Merrill Lynch Pierce Fenner & Smith for investment losses caused by Virginia Giuffre’s alleged misconduct.

Allegations Against Virginia Giuffre

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

  • Client alleged Virginia Giuffre made misrepresentations and unsuitable investment recommendations concerning auction market securities.
  • Client alleged Virginia Giuffre made unsuitable investment recommendations resulting in losses in her accounts..
  • Customer alleged improper solicitation of a IRA by Virginia Giuffre.

Virginia Giuffre Red Flags & Your Rights As An Investor

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

If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Virginia Giuffre 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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