Investigation of Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Michael Hulley

Merrill Lynch

Can I recover losses from investments with Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Michael Hulley (CRD# 1352411) who recommended common and preferred stocks? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Brea, California since 2016. 

Michael Hulley Customer Complaints

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

November 2021. “The customer alleges unauthorized trading on February 26, 2020.” The customer is seeking $490,000 in damages and the case is currently pending. This complaint was regarding common and preferred stocks and took place while Michael Hulley 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 Hulley’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.