Were you the victim of investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Daniel Ellison (CRD# 2320115)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York, since 1996.
Daniel Ellison Customer Complaints
He has been the subject of six customer complaints between 2000 and 2023, one of which was denied and one was closed without action, according to his CRD report. The most recent complaint was regarding:
December 2023. “The clients allege that registered representative failed to act in their best interest from 2019 through 2023.” The case is currently pending. The complaint was regarding self-directed and non-managed fee based accounts.
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 Daniel Ellison’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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