Published On: January 20, 2017

Stoltmann Law Offices is interested in speaking to those clients who may have invested with Steven Finkel of Merrill Lynch in Florham Park, New Jersey. In November 2016, a customer alleged that Mr. Finkel recommended unsuitable investments, executed unauthorized trades and misrepresented material facts. Another customer alleged that Mr. Finkel, while employed at UBS, purchased unsuitable preferred stocks, among other transgressions. All of these are against securities rules and regulations. Merrill Lynch, Finkel’s former firm, can be held responsible for investment losses because the firm was supposed to reasonably supervise its brokers. Please call our securities law firm in Chicago today at 312-332-4200 to speak to an attorney about how you might be able to bring a claim against Merrill Lynch. We take cases on a contingency fee basis only.

Steven Finkel was registered with Smith Barney from March 1983 until October 1983, J.B. Hanauer & Co. from February 1977 until February 1988, First Miami Securities in Boca Raton, Florida from February 1979 until July 1991, First Miami Securities from October 1983 until July 1991, Prudential Securities in New York, New York from June 1991 until July 2003, Wachovia Securities in St. Louis, Missouri from July 2003 until October 2003 and UBS Financial Services in Florham Park, New Jersey from October 2003 until March 2010. He is currently registered with Merrill Lynch in Florham Park, New Jersey and has been since February 2010. He has four customer disputes against him, three of which are currently pending.

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