Can you recover losses due to recommendations by former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Bryce Jones (CRD# 6361728)? He has been registered with Independent Financial Group, LLC in Washington, Utah, since 2022. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newport Beach, California, from 2014 to 2022.
Bryce Jones Customer Complaints
He has been the subject of three customer complaints between 2015 and 2023, two of which were denied, according to his CRD report:
September 2023. “Claimant alleges unsuitable investment recommendations and failure to follow instructions in March 2021.” The case was settled for $100,000. The complaint was regarding common and preferred stocks, and it took place while he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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 Bryce Jones’ 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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