Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker James Viktora Investment Loss Options

Merrill Lynch

Were you the victim of investment losses due to recommendations by Merrill Lynch, Pierce, Fenner & Smith Incorporated broker James Viktora (CRD# 5284023)? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Orland Park, Illinois, from 2016 to 2023, when he was terminated regarding, “conduct involving entering into a financial arrangement with a client, resulting in a loss of trust and confidence.

James Viktora Customer Complaints

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

April 2023. “Power of Attorney for deceased customer alleges failure to follow instructions and unauthorized transfer of account in November 2022.” The case is currently pending. The complaint was regarding cash management 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 James Viktora’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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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.