COVID-19 Update: How we are serving and protecting our clients.

Frank H. Suits, Jr. et al. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman NYSE No. 2006-016588

Claimant awarded $128,000 and costs against Merrill Lynch and the registered representative after Lax & Neville successfully arbitrated causes of action including unsuitable investment recommendations, violations of Self-Regulatory Organization Rules, breach of fiduciary duty, violation of the Securities Exchange act and failure to supervise regarding the sale of proprietary products by Respondent in Claimant's fee based account.

See PDF file

Featured in
New York Times, BusinessWeek, Dowjones Newswires, CNN Money, Forbes, WSJ, Thomson Reuters & SAC
Contact Us for a Free Consultation
NY: 212-696-1999 / DC: 202-792-0101