Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Maurice Kelley (CRD# 6482604) is accused of unsuitable investment recommendations. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jacksonville, Florida, since 2018.
Maurice Kelley Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
September 2022. “The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.” The case is currently pending. The complaint was regarding common and preferred stocks.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Merrill Lynch, Pierce, Fenner & Smith Incorporated may be liable for investment or other losses suffered by Maurice Kelley’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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