Stamford, Connecticut-based broker and investment adviser Christopher Phillips (CRD# 4761544) has received a pending investor complaint alleging his actions resulted...Read More
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.
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