Tag Archives: Craig D. Wakefield

Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX

October 2018- Houston, TX

According to FINRA records, Craig D. Wakefield,  a stockbroker who is currently registered with Merrill Lynch, Pierce, Fenner & Smith (Merrill Lynch) discloses a currently 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 May 2018 a customer of  Merrill Lynch filed FINRA case #18-1964   alleging unsuitable investment recommendations and misrepresentations by Wakefield in 2016.     The alleged damages are $100,000.

Wakefield has been employed with Merrill Lynch since February of 2010.

If you have questions about an account handled by Craig Wakefield , 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 are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.  

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Rex Securities Law 

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