Raj Sharma of Boston Massachusetts a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related arbitration claim in which the customer requested $70,000.00 in damages founded on accusations that (1) misrepresentations and omissions had been made to the customer from January of 2012 to January of 2016 with regard to exchange traded funds and stocks purchased by the customers and (2) the customers were provided bad advice concerning those investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-01751 (July 5, 2017).
FINRA Public Disclosure additionally reveals that another customer initiated investment related complaint concerning Sharma’s conduct was resolved for $32,000.00 in damages supported by allegations that while Sharma was associated with Merrill Lynch, Sharma’s stock recommendations were not suitable for the customer.
Sharma has been employed by Merrill Lynch since November 25, 1987.
