Former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Barbara Bart (CRD# 5404157) is accused of unsuitable investment recommendations. She has been listed as a financial advisor with Bank of America in Savannah, Georgia, since 2009, and a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Charleston, South Carolina, since 2009. She was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Savannah, Georgia, from 2009 to 2022.
Barbara Bart Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
December 2022. “The Customer alleges misappropriation of funds and unsuitable investments from 2009 until 2017.” The case was settled for $4,200,000.
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 Barbara Bart’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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