Options for Clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Harold Cho

Merrill Lynch

Erez Law is currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Harold Cho (CRD# 2202603), who is accused of unauthorized trading. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, New Jersey since 2014. 

Harold Cho Customer Complaints

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

May 2020. “The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.” The case was settled for $1,803,057.84. The complaint was regarding managed wrap accounts. 

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 Harold Cho’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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