Caroline Novak of Menlo Park California a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith Incorporated has been terminated on December 15, 2017 supported by accusations that Novak neglected to inform Merrill Lynch about her engagement in an outside business activity.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on August 31, 2007, a customer filed an investment related complaint involving Novak’s activities where the customer requested unspecified damages founded on allegations that Novak made unsuitable investment recommendations to the customer concerning hedge fund investments.
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