Merrill Lynch Pierce Fenner & Smith, Inc.
Merrill Lynch Pierce Fenner & Smith, Inc. (“Merrill Lynch”) is a registered broker-dealer with the Financial Industry Regulatory Authority (“FINRA”). It is also registered with the Securities and Exchange Commission (“SEC”). Accordingly, it must abide by securities regulations and federal and state securities laws. Failure to do so leaves it susceptible to private and public legal action.
Merrill Lynch conducts 23 types of businesses. Its investment advisory services include financial planning, portfolio management, and pension consulting. Its clients consist of individuals, banking institutions, investment companies, pension and profit sharing plans, charitable organizations, businesses, and government entities. It is compensated for its investment advisory services with either fixed fees, a percentage of assets under management, hourly charges, or commission.
If you believe you have a claim against Merrill Lynch, contact the attorneys at McCabe Rabin, P.A. for a free case review. Call 877-415-4040 or click here to e-mail us a written description of your case.