Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Cynthia Smith (CRD# 2386038) regarding unsuitable investment recommendations. She has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Myers, Florida, since 2002.
Cynthia Smith Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
September 2024. “Client alleges unsuitable investment strategy from March 2020 through 2022, and unauthorized transactions.” The case is currently pending. The complaint was regarding a non-broker-dealer-affiliate product.
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 Cynthia Smith’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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