Investigation of Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Glen Gatlin

Merrill Lynch

Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Glen Gatlin (CRD# 1734089) who is accused of misrepresentation? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Worth, Texas since 2010. 

Glen Gatlin Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

December 2021. “The customer alleges misappropriation of funds and misrepresentation. The customer also alleges that the Transfer on Death documents were not properly executed.” The customer is seeking $9 million in damages and the case is currently pending. The complaint was regarding investment retirement accounts (IRAs) and 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 Glen Gatlin 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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.