Investors potentially experienced sales practice violations by securities broker Aubrey Walter Lee Jr. [CRD: 1685532, Farmington Hills, Michigan], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Aubrey Lee worked for Merrill Lynch from August 18, 1987, to October 2, 2024. Keep reading to find out more about the disclosures involving Aubrey Lee according to FINRA BrokerCheck.
Specifically, a client filed a complaint about Aubrey Lee. Primarily, the client alleged that Lee made unsuitable recommendations from 2010 through 2022. For this reason, the client allegedly suffered damages on variable annuities. Therefore, on December 6, 2023, Merrill Lynch settled this matter by paying the client $76,687.50.
Additionally, a client of Merrill Lynch contested Aubrey Lee’s sales practices, according to a complaint dated January 20, 2023. Allegedly, Lee gave unsuitable advice about a variable annuity. It appears that Lee allegedly caused the client to sustain damages. As a result, the client sought compensation from Merrill Lynch or Lee in the amount of $175,000 in this matter. However, the firm denied this complaint.
Also, on September 16, 2005, a Merrill Lynch, Pierce Fenner Smith Inc. client filed a complaint about Aubrey Lee. Mainly, the client alleged that Lee made unsuitable investment recommendations involving mutual funds. Because of this, the client allegedly experienced damages. Consequently, the client requested compensation from Merrill Lynch, Pierce Fenner Smith Inc. or Lee. However, the firm denied this complaint.
Are you concerned about investments you made through Aubrey Lee? Get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Lee and brokerage firms Lee worked for deny allegations of sales practice violations.
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