William Bartly Wolf, of Newark, New Jersey, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related written complaint on September 2, 2015, based upon allegations that Wolf effected mutual fund trades in the customer’s investment account without the customer’s consent.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Wolf has been identified in six additional customer initiated investment related disputes regarding allegations of his wrongdoing while associated with Merrill Lynch. Particularly, on February 9, 2005, a customer initiated investment related written complaint involving Wolf’s conduct was settled to resolve allegations that he made unsuitable insurance and mutual fund product recommendations to the customer.
Subsequently, on December 2, 2010, a customer initiated investment related written complaint involving Wolf’s conduct was settled for $1,851.87 in damages based upon allegations that he effected transactions that were not authorized in reference to the customer’s variable annuity. On August 30, 2012, another customer filed an investment related written complaint concerning Wolf’s activities, based upon allegations that Wolf failed to abide by the customer’s instructions to withdrawal funds, and induced the customer’s variable annuity purchase due to misrepresentations. Further, on April 2, 2015, a customer filed an investment related arbitration claim involving Wolf’s conduct, based upon allegations that he effected trades in the customer’s account on an excessive basis, and recommended investments which were not suitable for the customer.
Wolf’s registration with Merrill Lynch was terminated on September 2, 2014. Since August 29, 2014, he has been associated with Hightower Securities, LLC.
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