Investors File Disputes About Brent Hablutzel

Soreide Law Group is investigating possible investor claims against securities broker Brent Devon Hablutzel (CRD:  4749339, Greenwood Village, CO). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Evidently, one or more investors alleged that Hablutzel engaged in unauthorized trading. Here is a brief summary of the disclosures about Hablutzel.

Merrill Lynch Pierce Fenner Smith Incorporated Investor Accuses Brent Hablutzel Of Unauthorized Trading

Notably, a client of Merrill Lynch Pierce Fenner Smith Incorporated contested Brent Hablutzel’s sales practices, according to a complaint dated October 6, 2022. Allegedly, Hablutzel engaged in unauthorized trading. Supposedly, Hablutzel caused the client to sustain damages by investing in structured products. Therefore, the client sought compensatory relief from Merrill Lynch Pierce Fenner Smith Incorporated or Hablutzel. However, this complaint is denied as of November 29, 2022.

Hablutzel Discharged For Unauthorized Trading

Also, Rockefeller Financial LLC disaffiliated with Hablutzel on July 5, 2022. Allegedly, Hablutzel engaged in unauthorized trading and failed to comply with an internal investigation.

Merrill Lynch Pierce Fenner Smith Incorporated Investor Accuses Brent Hablutzel Of Misrepresentation

Additionally, on May 11, 2015, a Merrill Lynch Pierce Fenner Smith Incorporated client filed a complaint about Brent Hablutzel. Namely, the client alleged that Hablutzel made misrepresentations. Because of this, the client allegedly sustained damages. Therefore, the client requested compensation from Merrill Lynch Pierce Fenner Smith Incorporated or Hablutzel. Evidently, this complaint is denied.

Hablutzel Employment Information

• Hablutzel worked for Merrill Lynch Pierce Fenner Smith Incorporated in Greenwood Village, CO, as a securities broker from March of 2004 to February of 2022.
• Hablutzel worked for Rockefeller Financial LLC in Greenwood Village, CO, as a securities broker from February of 2022 to August of 2022.

Did Merrill Lynch Pierce Fenner Smith Incorporated Securities Broker Brent Hablutzel Cause You To Experience Damages?

Have you experienced damages because of Brent Hablutzel? You should reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in the United States, is ready to review your situation and explain your legal options. Also, the firm represents clients on a contingency fee basis and advances all costs. Hablutzel and brokerage firms Hablutzel worked for deny any and all allegations of sales practice violations.