January 2020- Guaynabo, Puerto Rico/Miami, FL
According to publicly available records Jose Alberto Casellas (CRD# 2638747) , a stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith disclose a pending customer dispute .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In pending FINRA Case 19-1218, a customer of Merrill Lynch alleges that Casellas made unsuitable recommendations and traded without authority. Damages of $3 million are sought.
Casellas has been registered with Merrill Lynch, Pierce, Fenner & Smith since September 2010.
If you have questions about an account in an account handled by Jose Alberto Casellas , contact us for a no charge consultation to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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