Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gentile (Gentile), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gentile recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 05, 2021.
Client alleges FA misrepresented tax consequences of exchanging mutual funds within the same fund family resulting in taxes owed and causing the client to miss out on tuition assistance.