Brandon M. Adkins, of Eau Claire, Wisconsin, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, has been named in a customer initiated investment related written complaint, which settled on September 2, 2014, for $22,966.32 in damages based upon allegations that Adkins made misrepresentations and unsuitable investment recommendations to the customer regarding exchange traded funds.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on December 17, 2014, Adkins was terminated by Merrill Lynch based upon allegations that he Adkins mismarked customers’ investment orders as unsolicited, and made investment recommendations to customers in products which Merrill Lynch did not offer.
Guiliano Law Group
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