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Category Merrill Lynch

Merrill Lynch Financial Advisor, Bernie Adair, Has Eight Customer Complaints Disclosed On His CRD Allegeding Various Sales Practice Violations

September 12, 2019

Bernie Adair (CRD # 1535429) is a Financial Advisor at Merrill Lynch in Jupiter, FL.  Bernie Adair has been in the securities industry since 1986 and previously worked at Dominick & Dominick, Prescott, Ball & Turben, Gulfstream Financial, First American Asset Management Group, and Welco Securities. According to publicly available records released by the Financial…

Investors Who Lost Money In The Harvest Volatility Management Strategy Offered Through Merrill Lynch Or Morgan Stanley Have Recovery Options

September 8, 2019

The Harvest Volatility Management Strategy is an options strategy that was utilized by several brokerage firms, including Merrill Lynch and Morgan Stanley, as a safe method to generate supplemental portfolio income.  The Harvest Volatility Management Strategy involves the use of an “Iron Condor” options strategy, which entails selling both near-the money and out-of-the money put…

Merrill Lynch Financial Advisor, Mark E. Jones, Has Nine Customer Complaints Disclosed On His CRD, Alleging Various Sales Practice Violations

August 27, 2019

Mark E. Jones (CRD # 261512) is a Financial Advisor at Merrill Lynch, Pierce, Fenner & Smith in Denver, CO.  Mark Jones has been in the securities industry since 1972 and previously worked at American Western Securities, American Growth Fund Sponsors and Independent Securities Corporation.  According to publicly available records released by the Financial Industry…

Merrill Lynch Financial Advisor, Peter Huffman, Has A Pending $2.7 Million Customer Complaint Alleging Excessive Trading

August 27, 2019

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…

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis