Close Menu
Free Consultation: 888-976-6111

Jose Casellas: Merrill Lynch Advisor Complaint

Jose Casellas, a Merrill Lynch financial advisor registered in the firm’s Miami, Florida and Guaynabo, Puerto Rico offices, currently has a pending $2 million customer complaint on his regulatory record.

The customer alleged “misrepresentation and unsuitable investment recommendations from 2010 to 2016.” The complaint, filed on September 18, 2017, is in the form of a Financial Industry Regulatory Authority (FINRA) arbitration and is disclosed on Casellas’ Brokercheck report. According to public records, the claim relates to municipal debt/mutual fund. The complaint is still pending as of the date of this post.

Casellas has been licensed in the securities industry for 17 years. Other than this complaint, he has no complaints on his regulatory record. Prior to his employment with Merrill Lynch, Casellas was employed with UBS Financial, Santander Securities, UBS Painewebber, and the Government Development Bank for Puerto Rico Capital Fund.

If you were sold unsuitable investments, please call us at 888-976-6111 for a free consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Sam Aziz: FINRA Bars Ohio David A. Noyes Advisor

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Dublin, Ohio broker and investment advisor Sam Aziz...

    Read More
  • Ed Matthes: FINRA Bars Wisconsin Mutual of Omaha Advisor

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Oconomowoc, Wisconsin broker and investment advisor Ed Matthes...

    Read More
  • Dennis Hayes: Former Boca Raton Newbridge Advisor Barred by FINRA

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Boca Raton, Florida and Melville, New York broker...

    Read More
  • Judith Johnston: Former NYLife Broker Barred; Variable Annuity Complaints

    A disciplinary action taken by the Financial Industry Regulatory Authority against former Frisco, Texas broker Judith Johnston (CRD# 5532549) barred...

    Read More
  • Previous
  • Next