Were you the victim of former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Michael Halperin (CRD# 4448939)? He has been registered with Morgan Stanley in Boca Raton, Florida, since 2024. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boca Raton, Florida, from 2001 to 2024.
Michael Halperin Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
September 2024. “Client alleges failure to follow instructions related to investing his IRA funds into two index fund ETFs and failure to make any recommendations to invest those funds.” The case is currently pending. The complaint was regarding exchange traded funds (ETFs), 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 Michael Halperin’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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