Joel Thomas Summerlin of Tampa Florida a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related written complaint which was resolved for $75,000.00 on March 1, 2018 supported by allegations that between June of 2010 and April of 2017: (1) Summerlin made investment recommendations to the customer that were not suitable and (2) Summerlin effected over-the-counter equities trades in the customer’s account on an excessive basis.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on June 19, 2002, a customer filed an investment related complaint regarding Summerlin’s conduct in which the customer requested unspecified damages based upon accusations that while Summerlin was employed by Merrill Lynch Pierce Fenner Smith Inc., equity transactions had been executed in the customer’s account despite the customer never calling for speculative and risky investments to be placed in the customer’s account.
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