October 2018- Jupiter, FL
According to publicly available records Jeffrey A. Glusman (CRD#4427168), a stockbroker who formerly was registered with Merrill Lynch, Pierce, Fenner & Smith, disclose a pending $550,000 customer dispute.
The Financial 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 currently pending FINRA case #18-01415 , a customer of Merrill Lynch, Pierce, Fenner & Smith alleges unsuitable investment recommendations, misrepresentation and selling away and is seeking $550,000 in damages.
Jeffrey Glusman worked for Merrill, Lynch, Pierce, Fenner & Smith from September 2001 until December of 2017. He began his present position with Suntrust Investment Services in February of 2018.
If you have questions about an investment account handled by Jeffrey Glusman, contact us for a no charge consultation to learn about 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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