Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York

June 2020-New York

According to publicly available records.  Jacquin P. Fink (CRD#207807), a  stockbroker who last worked for Merrill Lynch,  discloses 10 prior customer disputes and 1 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.

From July of 1994 until December of 2019, 10 customers of Merrill, Lynch, , filed customer disputes alleging that Fink made unsuitable investment recommendations,  and other wrongdoing, including omission of material facts, misrepresentation, excessive trading, aggressive trading, unauthorized trading and churning.    These cases were settled for a cumulative amount of about $3.9 million.

In February of 2020 FINRA case #20-00416 was filed by a Merrill Lynch customer alleging unsuitable investment recommendations by Fink and seeks damages of $43,434.   This case is still pending.

Fink was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. from March of 1968 until January of 2020. He is not currently registered with any FINRA broker dealer.

If you had an account with Jacquin P. Fink  that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your 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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