Patrick J. Sands, of Quincy, Massachusetts, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, was terminated from employment on November 19, 2015, based upon allegations that he sold securities outside the auspices of his firm, which was a violation of his firm’s policies.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on January 27, 2011, Sands was named in a customer initiated investment related arbitration claim, in which a customer was awarded $39,000.00 in damages based upon allegations including misrepresentations and omissions, unsuitable investments, breach of contract, and breach of fiduciary duty. The customer additionally alleged that Bank of America Investment Services, Inc. failed to supervise Sands’ activities.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
