Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hacker (Hacker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hacker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $485,149.00 on August 23, 2021.
Client alleges that registered representative made unsuitable recommendations and misrepresented or failed to disclose the nature/risks of certain investments and failed to follow instructions for a stop-loss order from June 1, 2016 to June 30, 2022.