Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Esler (Esler), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Esler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on September 16, 2025.
Customer alleged Breach of Fiduciary Duty as related to contract negligence. Customer alleged damages from fees charged in connection to an invalid customer contract as well as pre judgment interest and cost of legal representation.