Christine Kelley of Merrill Lynch Pierce Fenner & Smith

DID CHRISTINE A. KELLEY CAUSE YOU INVESTMENT LOSSES? Christine Kelley Of Merrill Lynch Pierce Fenner & Smith And Formerly With CapFinancial Securities, CapTrust And Fidelity Personal And Workplace Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Christine Kelley of Merrill Lynch Pierce Fenner & Smith? Christine Kelley (CRD #5899366) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Tampa, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Christine Kelley was associated with CapFinancial Securities, CapTrust, Fidelity Personal And Workplace Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christine Kelley Customer Complaint Christine Kelley has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation and an unauthorized liquidation of funds from a joint account. Christine Kelley’s customer complaint was denied and, to date, the customer has not taken any further action. Christine Kelley Red Flags & Your Rights As An Investor Of course, Christine Kelley 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 Christine Kelley at Merrill Lynch Pierce Fenner & Smith, CapFinancial Securities, CapTrust, and Fidelity Personal And Workplace Advisors on alert to review carefully the activity and performance of their accounts and question whether Christine Kelley 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, CapFinancial Securities, CapTrust, and Fidelity Personal And Workplace Advisors 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Christine Kelley If you have questions about Merrill Lynch Pierce Fenner & Smith, CapFinancial Securities, CapTrust, Fidelity Personal And Workplace Advisors, and/or Christine Kelley 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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Dennis Ayer of Hilltop Securities

DID DENNIS PHILLIP AYER CAUSE YOU INVESTMENT LOSSES? Dennis Phillip Ayer Formerly with Hilltop Securities Inc., And Oppenheimer & Co., Inc. Has 7 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is Dennis P. Ayer formerly with Hilltop Securities Inc., Oppenheimer & Co., Inc.? Dennis Ayer (CRD #5365176) who was formerly registered with Hilltop Securities Inc. and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Hilltop Securities Inc., Dennis Ayer was associated with Oppenheimer & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated and four other firms with a history of customer complaints and securities industry regulatory problems. Hilltop Securities Inc. Broker Misconduct In his career, Dennis Ayer has been the subject of 7 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. One of Dennis Ayer’s 7 customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Dennis Ayer’s former employers Hilltop Securities Inc., Oppenheimer & Co. and Merrill Lynch, Pierce Fenner & Smith for investment losses caused by his alleged misconduct. Allegations Against Dennis Ayer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges excessive risk relative to clients stated objectives. Suitability related to over-concentration in Foresight Energy, LLC. Claimant alleges claims for breach of fiduciary duty, negligence, and negligent misrepresentation concerning investments in Foresight Energy, LLC. Unsuitable recommendations and misrepresentations. Claimants assert claims for failure to supervise, breach of fiduciary duty, respondeat superior, or, unsuitability, breach of contract, violations of the California securities laws, violation of FINRA rules, fraud, and other common law claims relating to purchases of certain stocks and bonds of energy companies. Claimant alleged investment advice suitability issues related to excessive risk in strategy deviation. Dennis Ayer Red Flags & Your Rights As An Investor Of course, Dennis Ayer 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 Dennis Ayer at Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Dennis Ayer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Hilltop Securities Inc. If you have questions about Hilltop Securities Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Dennis Ayerand 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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William Thon of Merrill Lynch

DID WILLIAM FRANCIS THON CAUSE YOU INVESTMENT LOSSES? William Francis Thon formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 19 Customer Complaints for Alleged Broker Misconduct Who is William F. Thon formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated? William Thon (CRD #1485103) who was formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Guaynabo, Puerto Rico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, William Thon was associated with three other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Misconduct In his career, William Thon has been the subject of 19 customer complaints that we know about, 8 of those complaints were filed in the last year to recover investment losses. Thirteen of William Thon’s 19 customer complaints were settled in favor of investors. There are currently 6 pending customer complaints filed against William Thon’s former employer Merrill Lynch, Pierce, Fenner & Smith Incorporated for investment losses caused by his alleged misconduct. Allegations Against William Thon A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The customer alleges unsuitable investment recommendations and misrepresentations. The claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that its account was over-concentrated in Puerto Rico investments.  It also alleges that the risk of investing in and concentration on Puerto Rico investments was misrepresented. Claimants allege they were damaged as a result of recommendations to purchase and hold various unsuitable Puerto Rico municipal bonds and closed-end Puerto Rico municipal bond funds, such as the aqueduct bonds, Cofina bonds, electric power Authority bonds, employee retirement system bonds, the investor’s tax-free funds, and fixed income funds. The claimant alleges unsuitability, overconcentration, and misrepresentation involving the recommendation of closed-end funds. Claimants allege their investments and closed-end bond funds and unsuitable, over-concentrated, and the result of misrepresentations and omissions of material facts, including the fact that the closed-end bond funds were bonds guaranteed by the Puerto Rico government. The claimant alleges unsuitability, over-concentration, misrepresentations involving the recommendation of closed-end funds and Puerto Rico bank preferred shares. William Thon Red Flags & Your Rights As An Investor Of course, William Thon 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 William Thon at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether William Thonhas 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 supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated, and/or William Thon 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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Michael Taborski of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL ANTHONY TABORSKI CAUSE YOU INVESTMENT LOSSES? Michael Taborski Of Merrill Lynch Pierce Fenner & Smith And Formerly With Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors And Strategic Advisers Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Taborski of Merrill Lynch Pierce Fenner & Smith? Michael Taborski (CRD #6424093) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Taborski was associated with Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Taborski Customer Complaint Michael Taborski has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation and unauthorized trading. Michael Taborski’s customer complaint was settled in favor of the investors. Michael Taborski Red Flags & Your Rights As An Investor Of course, Michael Taborski 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 Michael Taborski at Merrill Lynch Pierce Fenner & Smith, Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers on alert to review carefully the activity and performance of their accounts and question whether Michael Taborski 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, Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, and Strategic Advisers 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Michael Taborski If you have questions about Merrill Lynch Pierce Fenner & Smith, Fidelity Brokerage Services, Fidelity Personal And Workplace Advisors, Strategic Advisers, and/or Michael Taborski 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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Roy Tonning of UBS Financial Services

DID ROY K. TONNING CAUSE YOU INVESTMENT LOSSES? Roy Tonning Of UBS Financial Services And Formerly With Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct Who is Roy Tonning of UBS Financial Services? Roy Tonning (CRD #5494420) who is currently registered with UBS Financial Services and located in Ponte Vedra, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Roy Tonning was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Roy Tonning Customer Complaints Roy Tonning has been the subject of 2 customer complaints that we know about. One of Roy Tonning’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Roy Tonning’s alleged misconduct. Allegations Against Roy Tonning A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The customers alleged unauthorized trading and misrepresentation by Roy Tonning. Claimant’s counsel alleged Roy Tonning’s unsuitability and misrepresentation regarding an options overlay strategy investment. Roy Tonning Red Flags & Your Rights As An Investor Of course, Roy Tonning 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 Roy Tonning at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Roy Tonning has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Roy Tonning If you have questions about UBS Financial Services, Merrill Lynch Pierce Fenner & Smith, and/or Roy Tonning 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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Ernst Tullus of Merrill Lynch Pierce Fenner & Smith

DID ERNST JUNIOR TULLUS CAUSE YOU INVESTMENT LOSSES? Ernst Tullus Of Merrill Lynch Pierce Fenner & Smith And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Ernst Tullus of Merrill Lynch Pierce Fenner & Smith? Ernst Tullus (CRD #6151941) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Margate, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Ernst Tullus was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ernst Tullus Customer Complaint Ernst Tullus has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were an unauthorized withdrawal was made from her account on April 13, 2020. Ernst Tullus’ customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Ernst Tullus Red Flags & Your Rights As An Investor Of course, Ernst Tullus 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 Ernst Tullus at Merrill Lynch Pierce Fenner & Smith and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Ernst Tullus 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 and J.P. Morgan Securities 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Ernst Tullus If you have questions about Merrill Lynch Pierce Fenner & Smith, J.P. Morgan Securities, and/or Ernst Tullus 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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Trang Tran formerly with Merrill Lynch Pierce Fenner & Smith

DID TRANG HONG TRAN CAUSE YOU INVESTMENT LOSSES? Trang Tran Formerly With Merrill Lynch Pierce Fenner & Smith And J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Trang Tran formerly with Merrill Lynch Pierce Fenner & Smith? Trang Tran (CRD #6606194) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Trang Tran was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Trang Tran Customer Complaint Trang Tran has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were client alleged failure to follow instructions. Trang Tran’s customer complaint was settled in favor of the investors. Trang Tran Red Flags & Your Rights As An Investor Of course, Trang Tran 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 Trang Tran at Merrill Lynch Pierce Fenner & Smith and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Trang Tran 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 and J.P. Morgan Securities 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Trang Tran If you have questions about Merrill Lynch Pierce Fenner & Smith, J.P. Morgan Securities, and/or Trang Tran 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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Michael Voltin of Merrill Lynch Pierce Fenner & Smith

DID MICHAEL PAUL VOLTIN CAUSE YOU INVESTMENT LOSSES? Michael Voltin Of Merrill Lynch Pierce Fenner & Smith And Formerly With AXA Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Voltin of Merrill Lynch Pierce Fenner & Smith? Michael Voltin (CRD #6115457) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Austin, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Michael Voltin was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Voltin Customer Complaint Michael Voltin has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were customer alleged that the Michael Voltin’s recommendation to rollover her 401k into a variable annuity was unsuitable. Michael Voltin’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Michael Voltin Red Flags & Your Rights As An Investor Of course, Michael Voltin 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 Michael Voltin at Merrill Lynch Pierce Fenner & Smith and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael Voltin 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 and AXA Advisors 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Michael Voltin If you have questions about Merrill Lynch Pierce Fenner & Smith, AXA Advisors, and/or Michael Voltin 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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Austin Wetsch of Merrill Lynch Pierce Fenner & Smith

DID AUSTIN N. WETSCH CAUSE YOU INVESTMENT LOSSES? Austin Wetsch Of Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Austin Wetsch of Merrill Lynch Pierce Fenner & Smith? Austin Wetsch (CRD #4986020) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Austin Wetsch Customer Complaint Austin Wetsch has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations from 2015 until 2020. Austin Wetsch’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Austin Wetsch Red Flags & Your Rights As An Investor Of course, Austin Wetsch 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 Austin Wetsch at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Austin Wetsch 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 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Austin Wetsch If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Austin Wetsch 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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Guadalupe Wright Formerly With Merrill Lynch Pierce Fenner & Smith

DID GUADALUPE CANDELARIA WRIGHT CAUSE YOU INVESTMENT LOSSES? Guadalupe Wright Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Guadalupe Wright formerly with Merrill Lynch Pierce Fenner & Smith? Guadalupe Wright (CRD #4412564) who was formerly registered with Merrill Lynch Pierce Fenner & Smith and located in Anchorage, Alaska is a subject of one of our many securities industry sales practice abuse investigations. Guadalupe Wright Customer Complaint Guadalupe Wright has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleged unauthorized transfer of funds and/or wrongful withdrawals. The customer complaint filed against Guadalupe Wright’s former employer Merrill Lynch Pierce Fenner & Smith for investment losses caused by the alleged misconduct is pending as of the date of this report. Guadalupe Wright Red Flags & Your Rights As An Investor Of course, Guadalupe Wright 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 Guadalupe Wright at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Guadalupe Wright 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 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. File A Claim To Recover Your Investment Losses At Merrill Lynch Pierce Fenner & Smith Due To Guadalupe Wright If you have questions about Merrill Lynch Pierce Fenner & Smith and/or Guadalupe Wright 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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