Susan E. Regan (also known as Susan Marie Eustace) of Westfield New Jersey a stockbroker currently employed by Merrill Lynch Pierce Fenner Smith Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $140,000.00 in damages founded on allegations that (1) misrepresentations and omissions were made in regard to the customer’s investments (2) unauthorized trades were executed in the customer’s investment account and (3) unsuitable investment recommendations had been made to the customer concerning mutual funds and stocks that ended up being held in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-00548 (Mar. 22, 2017).
FINRA Public Disclosure additionally confirms that on March 15, 2002, a customer initiated investment related complaint involving Regan’s conduct was settled for $154,179.87 in damages based upon accusations that while Regan was associated with Merrill Lynch, omissions and misrepresentations of variable annuity terms and conditions had been made to the customer at the time that the contract was purchased by the customer.
Regan has been registered with Merrill Lynch Pierce Fenner Smith since February 8, 1991.