Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Smogor (Smogor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Smogor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.
The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death.