Kerry Thomas Cassell of Charlotte, North Carolina, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., was the subject of a customer initiated investment related complaint filed on February 2, 2022, seeking damages based upon allegations that Cassell made misrepresentations of material fact in connection with the recommendation and sale of variable annuities when Cassell was associated with Merrill Lynch Pierce Fenner Smith Inc.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Cassell is referenced in two other customer initiated investment related disputes concerning Cassell’s conduct while associated with Merrill Lynch Pierce Fenner Smith Inc. On September 12, 2008, a customer filed an investment related complaint involving Cassell’s conduct in which the customer requested compensation based upon allegations that Cassell made misrepresentations of material fact and made unsuitable recommendations of stocks.
Cassell was also referenced in a complaint filed on October 9, 2008, in which the customer requested $700,000.00 in damages based upon allegations that Cassell failed to follow instructions.
Cassell was associated with Merrill Lynch Pierce Fenner Smith Incorporated in Charlotte, NC, as a stockbroker from October of 2009 to June of 2017; Wells Fargo Clearing Services LLC in Charlotte, NC, as an investment advisor representative from June of 2017 to September of 2019; and Wells Fargo Clearing Services LLC in St. Louis, MO, as a stockbroker from June of 2017 to September of 2019.
Cassell reassociated with Wells Fargo Clearing Services LLC in Charlotte, NC, as a stockbroker since August 10, 2020, and as an investment advisor representative since September 18, 2020.
