DID JAMES ROBERT VIKTORA CAUSE YOU INVESTMENT LOSSES?
James Viktora Formerly Merrill Lynch, Pierce, Fenner & Smith Incorporated Has A Customer Complaint For Alleged Broker Misconduct
About James Viktora formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?
James Robert Viktora (CRD # 5284023) presents a concerning professional history marked by a termination and customer dispute. Despite passing a modest number of exams, including three general industry/product exams and two state securities law exams, Viktora’s career trajectory is marred by frequent job changes and termination. His employment with various firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc., and Keeley Investment Corp., has been short-lived, with a termination and allegations of misconduct casting doubt on his reliability and ethical conduct.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Viktora Customer Complaint and Reviews
Number of Incidents: 1 Customer Dispute, 1 Termination
Customer Dispute:
- Allegations: A pending complaint filed by a Power of Attorney for a deceased customer alleges Viktora’s failure to follow instructions and unauthorized transfer of the account in November 2022, involving a Cash Management Account at Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Outcome: The complaint alleges unspecified damages and is currently pending litigation at the Circuit Court of Cook County, Illinois.
Termination:
- Reason for Termination: Viktora was discharged by Merrill Lynch, Pierce, Fenner & Smith Incorporated on February 9, 2023, following allegations of conduct involving entering into a financial arrangement with a client, resulting in a loss of trust and confidence.
Allegations Against James Viktora
- Unauthorized Account Transfer: Allegations include unauthorized transfer of a deceased customer’s account and failure to follow instructions, raising concerns about Viktora’s adherence to ethical and professional standards.
- Conduct Involving Financial Arrangement: Viktora’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated stems from allegations of engaging in a financial arrangement with a client, compromising trust and confidence in his abilities as a financial advisor.
James Viktora Red Flags & Your Rights As An Investor
Of course, James Viktora did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Viktora at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether James Viktora has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To James Viktora
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or James Viktora and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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