fbpixel
888-840-1571

National Investment Fraud Lawyers

¿Perdió en bonos y fondos de Puerto Rico?

How to Bring a Claim Against Former Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Jacquin Fink

Posted on Monday, March 9th, 2020 at 9:35 pm    

Merrill Lynch logo

Did you lose money investing with former Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Jacquin Fink (CRD# 207807)? Fink has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, New York from 1978 to 2020.

Fink has been the subject of 11 customer complaints between 1994 and 2020, according to his CRD report. Recent complaints are regarding: 

February 2020. “The Customer alleges unsuitable investment recommendations.” The customer is seeking $43,434 in damages in this pending complaint. 

January 2019. “The Customer alleges unsuitable investment recommendations.” The customer sought $3,581,198 in damages and the case was settled for $800,000. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding common and preferred stocks, foreign debt, and OTC. 

January 2018. “The customer alleges unsuitable investments.” The customer sought $500,000 in damages and the case was settled for $263,000. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding municipal debt. 

November 2017. “The Customer alleges unsuitable investment recommendations and omission of material facts from December 2007 to October 2016.” The customer sought $300,000 in damages and the case was settled for $75,000. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding common and preferred stocks.

July 2016. “The Customer, through her Attorney-in-Fact, alleges unsuitable investment recommendations from November 2014 to July 2016.” The case was settled for $205,732.34. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding common and preferred stocks.

April 2016. “The Customers allege unsuitable investment recommendations, excessive trading and misrepresentation and omission of material facts from October 2013 to January 2016.” The customer sought $581,144.10 in damages and the case was settled for $402,500. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding common and preferred stocks.

April 2016. “The Customer alleges unsuitable investment recommendations and misrepresentation in August 2015.” The case was settled for $30,000. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding common and preferred stocks.

November 2015. “The Customers allege unsuitable investment recommendations from October 2012 to August 2014.” The case was settled for $106,092.75. The complaint took place while Fink was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and was regarding equity OTC.

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 Fink’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.