DID TIMOTHY J KENT CAUSE YOU INVESTMENT LOSSES?
About Timothy Kent Of Merrill Lynch, Pierce, Fenner & Smith Incorporated?
Timothy Kent (CRD #5533177) is a seasoned broker registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Princeton, New Jersey, since August 2008. He is registered across 36 U.S. states and territories and with 7 Self-Regulatory Organizations (SROs). Kent has passed two general industry/product exams and one multi-state securities law exam but has not completed any principal/supervisory exams. His extensive registration and significant geographical coverage highlight a broad capability to operate across diverse regulatory environments and client bases.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Timothy Kent Customer Complaints and Reviews
Timothy J. Kent has experienced one customer dispute:
- Customer Dispute (Closed-No Action / Withdrawn / Dismissed / Denied): A complaint was lodged in March 2020 where the customer alleged unauthorized trading between November 2019 and March 2020. The firm conducted an investigation and concluded that the allegations were without merit, stating that the client had authorized the account activities in question. The complaint was formally dismissed on March 31, 2020.
Allegations Against Timothy Kent
- Unauthorized Trading: The client alleged that transactions were made in their account without proper authorization. This claim was specifically associated with the management of the account under the Merrill Lynch Investment Advisory Program. The firm’s investigation found that the client had agreed to the managed strategy implemented, leading to the dismissal of the complaint.
Timothy Kent Red Flags & Your Rights As An Investor
Of course, Timothy Kent 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 Timothy Kent at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Timothy Kent 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 Timothy Kent
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Timothy Kent 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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