man with head in hands

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.

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