Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Justin Gillham (Gillham), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Gillham’s most recent customer complaint alleges that Gillham recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,050,000.00 on July 20, 2022.
The customer alleges that a misrepresentation was made regarding the purchase of a structured note in June of 2021.