Gregory Alan Voight of Providence Rhode Island a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $75,000.00 in damages founded on allegations that (1) misrepresentations were made to the customer concerning structured products and municipal debt products (2) investment recommendations were not suitable and (3) trades were placed in the customer’s account on an excessive basis. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01972 (Oct. 9, 2018).
FINRA Public Disclosure additionally confirms that on November 29, 2001, a customer initiated investment related complaint involving Voight’s activities was settled for $3,007.42 in damages supported by accusations that the tax consequences of variable annuity transactions were misrepresented.
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Guiliano Law Group
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