Gregory Richard Sherf, of Leawood, Kansas, a stockbroker currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., is the subject of a customer initiated investment related written complaint on April 28, 2017, in which the customer requested $15,504.80 in damages based upon allegations that Sherf, between February of 2014 and April of 2017, made misrepresentations and omissions to the customer regarding a variable annuity transaction.
Additionally, Financial Industry Regulatory Authority (FINRA) Public Disclosure indicates that on March 5, 2001, a customer filed an investment related written complaint involving Sherf’s conduct, founded upon allegations that Sherf failed to apprise the customer about fees that the customer was required to pay in connection with the customer’s mutual funds investments, and failed to abide by the customer’s instructions to liquidate investments.
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