Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker David Ebner (CRD# 2962914)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Philadelphia, Pennsylvania since 1997.
David Ebner Customer Complaints
He has been the subject of three customer complaints between 2008 and 2022, one of which was denied, according to his CRD report. The most recent complaint was regarding:
May 2022. “The Personal Representative for the decedent alleges that the Financial Advisor failed to follow instructions on August 28, 2020, which resulted in adverse tax consequences.” The case is currently pending. The complaint was regarding various investments.
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 David Ebner’s customers.
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