DID DIANE SUZANNE VALENZUELA CAUSE YOU INVESTMENT LOSSES?
About Diane Valenzuela of Merrill Lynch, Pierce, Fenner & Smith Incorporated?
Diane Valenzuela (CRD #2105685) has a lengthy and established career in the financial services industry, primarily with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Indian Wells, California, where she has been registered since December 19, 1994. She is registered with 7 Self-Regulatory Organizations and licensed in 27 U.S. states and territories. Valenzuela has passed two principal/supervisory exams, two general industry/product exams, and two multi-state securities law exams. Her registration history includes previous stints with PaineWebber Incorporated. Her extensive registration across multiple states and her long tenure at a single firm highlight her stability and deep experience in the brokerage industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Diane Valenzuela Customer Complaints and Reviews
Diane Valenzuela has one reported customer dispute:
- Customer Dispute (1 incident):
- Date Complaint Received: October 7, 2022
- Allegations: The customer alleged unsuitable investment recommendations and misrepresentations concerning managed/wrap accounts managed by an in-house money manager, spanning from November 2020 to October 2022.
- Outcome: The complaint was denied on November 3, 2022. The firm reviewed the complaint and, agreeing with Valenzuela, found no merit in the allegations, resulting in no further action.
Allegations Against Diane Valenzuela
- Unsuitable Investment Recommendations:
- Details: The client accused Valenzuela of making investment recommendations that were unsuitable given the client’s investment objectives and circumstances.
- Resolution: After reviewing the case, the firm denied the complaint, concluding that the investments were appropriate for the client’s goals and risk tolerance at the time they were made. The decision was supported by the firm’s assessment that the allegations lacked merit.
Diane Valenzuela Red Flags & Your Rights As An Investor
Of course, Diane Valenzuela 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 Diane Valenzuela at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Diane Valenzuela 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 Diane Valenzuela
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Diane Valenzuela 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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