The Pompano Beach, Florida-based Soreide Law Group obtained the following information on a complaint filed against a Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2016.”
Dennis Mark Adam Merritt (CRD #1748115, Palm Harbor, Florida)
was named a respondent in a FINRA complaint alleging that he participated in private securities transactions in which his clients invested a total of $115,000 in a speculative investment.
FINRA’s complaint alleges that DENNIS M. MERRITT did not provide written notice to his member firm prior to participating in these private securities transactions. Allegedly, Merritt recommended that his clients invest in the speculative investment without having conducted adequate due diligence on it and without a reasonable basis to believe that an investment in it was suitable for any client.
FINRA’s complaint also alleges that DENNIS M. MERRITT falsely represented in an annual certification to his firm that he was complying with its policy prohibiting representatives from participating in private securities transactions.
(FINRA Case #2013036962201)
DENNIS M. MERRITT has been in the securities industry for 27 years and is currently registered with the following firm since 03/2014:
J.W. COLE FINANCIAL, INC.
3001 COUNTRYSIDE BOULEVARD
CLEARWATER, FL 33761
Some of the firms DENNIS M. MERRITT was previously registered with:
08/2013 - 10/2013 CETERA INVESTMENT SERVICES LLC - CLEARWATER, FL
06/2009 - 05/2013 WELLS FARGO ADVISORS, LLC - PALM HARBOR, FL
02/2007 - 06/2009 MORGAN KEEGAN & COMPANY, INC. - CLEARWATER, FL
09/1994 - 02/2007 AMSOUTH INVESTMENT SERVICES, INC. - CLEARWATER, FL
If you've suffered losses due to the recommendations of your broker or financial advisor, call the Florida-based Soreide Law Group and speak to a lawyer specializing in securities regarding the possible recovery of your investment at: 888-760-6552.
Soreide Law Group represents our clients nationwide on contingency and advances all costs. We are committed to recovering our clients’ losses due to the negligence or fraud of their stock brokers or financial advisors.
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