Merrill Lynch Financial Advisor, Peter Huffman, Has A Pending $2.7 Million Customer Complaint Alleging Excessive Trading
Peter Huffman (CRD # 5613027) is a Financial Advisor at Merrill Lynch, Pierce, Fenner & Smith in La Jolla, CA. Peter Huffman has been in the securities industry since 2009.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2019, a customer filed a complaint against Peter Huffman alleging “excessive trading and churning from January 31, 2012 until May 31, 2019.” The alleged damages are $2,797,295 and the matter remains pending.
For a copy of Peter Huffman’s CRD, click https://brokercheck.finra.org/individual/summary/5613027.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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