Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that Texas-based Merrill Lynch broker/adviser Mitchell Liberman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Liberman (CRD# 1520933).
Mitchell Liberman has spent 32 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 1986. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 15, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is a registered broker and investment adviser with two US states: Massachusetts and Texas.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, one denied customer complaint, and one customer complaint that was closed with no action taken.
In December 2018 a customer alleged Mitchell Liberman, while employed at Merrill Lynch, misrepresented material facts and recommended unsuitable investments in common and preferred stock. The customer is seeking unspecified damages in the pending complaint.
In 2002 a customer alleged Mitchell Liberman, while employed at Merrill Lynch, recommended unsuitable securities. The customer sought $187,000 in damages in the complaint, which was closed with no action taken.
In 2002 a customer alleged he, while employed at Merrill Lynch, did not inform of them of the risks associated with a mutual fund investment. The customer sought $47,614 in damages in the complaint, which was denied.
In 2000 a customer alleged Mitchell Liberman, while employed at Merrill Lynch, did not properly advise him in connection to an options investment. The complaint settled for $102,000.
If you or someone you know has lost money investing with Mitchell Liberman, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.