Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Patrick Cody (CRD# 5902144) who is accused of unsuitable investment recommendations? He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, California since 2011.
Patrick Cody Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
May 2022. “Claimant alleges unsuitable investments, mismanagement, excessive fees, and fraud.” The case is currently pending.
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 Patrick Cody’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.