DID TRENTON KENNETH WHALEN CAUSE YOU INVESTMENT LOSSES?
Trenton Whalen was fired from Merrill Lynch, Pierce, Fenner & Smith Incorporated on October 13, 2024, for failure to meet firm standards related to referrals
Who is Trenton Whalen formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?
Trenton Whalen (CRD #6869445) who was formerly registered as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Charlotte, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Trenton Whalen Employment History and Termination
Trenton Kenneth Whalen was a registered broker at Fifth Third Securities, Inc., from March 2018 to May 2021 followed by his most recent role with Merrill Lynch, Pierce, Fenner & Smith Incorporated, where he served as a Private Client Advisor II during his term from October 2023 to November 2024.
Over his career, he passed three general industry/product exams, including the General Securities Representative Examination (Series 7) in October 2023 and March 2018, and one multi-state securities law exam (Series 66) in January 2024.
Mr. Whalen’s employment with Merrill Lynch was terminated on October 31, 2024, following an internal investigation into a failure to meet firm standards related to handling referrals and entering into a financial arrangement with a client.
Negative Disclosures Summary
One reported disclosure event was noted:
- Employment Termination:
- Date: October 31, 2024
- Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Reason: Failure to meet firm standards related to handling referrals and entering into a financial arrangement with a client.
Trenton Whalen Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Trenton Whalen is a red flag which should put all current and former customers of Trenton Whalen at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Trenton Whalen 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 Trenton Whalen
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Trenton Whalen 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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