DID JACQUIN P. FINK CAUSE YOU INVESTMENT LOSSES?

Jacquin P. Fink formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 11 Customer Complaints for Alleged Broker Misconduct

Who is Jacquin P. Fink formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?

Jacquin Fink (CRD #207807) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in New York, New York is a subject of one of our many securities industry sales practices abuse investigations.

Jacquin Fink is no longer employed at the firm; it is unclear whether the most recent complaint precipitated the termination of employment.

Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct

In his career, Jacquin Fink has been the subject of 11 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses.

Ten of Jacquin Fink’s 11 customer complaints were settled in favor of investors. There are currently 1 pending customer complaints filed against Jacquin Fink’s former employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct.

Allegations Against Jacquin Fink  

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

  • The customer alleged unsuitable investment recommendations involving common and preferred stocks and foreign debt which Merrill Lynch recently settled for $800,000.
  • The claimant alleged unsuitable investments involving municipal bonds which Merrill Lynch recently settled for $263,000.
  • Six other claimants and separate arbitration proceedings alleged unsuitable investment recommendations involving stock transactions which are settled for various amounts.
  • The customer alleged aggressive trading and misrepresentations in connection with the investments in her account.
  • Another customer alleged excessive trading, unsuitable investment recommendations and unauthorized trading of common stocks.
  • The claimant alleged churning.

Jacquin Fink Red Flags & Your Rights as An Investor

Of course, Jacquin Fink 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 that should put all current and former customers of Jacquin Finkat Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Jacquin Finkhas engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about 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 Incorporated

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