Published on:

Merrill Lynch Broker Lisa Wolf Faces Pending Complaint

Lisa Wolf

According to public records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, Illinois-based Merrill Lynch broker/adviser Lisa Wolf is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms.Wolf (CRD# 1989869).

Lisa Wolf has spent 26 years in the securities industry and has been registered with Merrill Lynch in Chicago, Illinois since 1999. Previous registrations include Invest Financial Corporation in Tampa, Florida (1993-1999); Northern Trust Securities in Chicago, Illinois (1992-1999); and Investment Network in Franklin Park, Illinois (1989-1992). She is a registered broker and investment adviser in 24 US states.

According to his BrokerCheck report, Lisa Wolf is the subject of four customer complaints, one pending customer complaint, and one denied customer complaint.

In April 2015 a customer alleged Lisa Wolf, while employed at Merrill Lynch, misrepresented material facts related to an investment, made unsuitable recommendations, and engaged in unauthorized trading. The customer is seeking $364,630 in damages in the pending complaint.

In 2013 a customer alleged Lisa Wolf, while employed at Merrill Lynch, misrepresented material facts and recommended unsuitable investments. The complaint settled for $62,500.

In 2012 a customer alleged Lisa Wolf, while employed at Merrill Lynch, executed unauthorized trades and made unsuitable investment recommendations. The complaint settled for more than $3,800.

In 2006 a customer alleged Lisa Wolf, while employed at Merrill Lynch, executed unauthorized trades, executed excessive trades, and recommended unsuitable investments. The complaint settled in 2007 for $37,500.

In 2004 a customer alleged Lisa Wolf, while employed at Merrill Lynch, misrepresented and omitted material facts, failed to diversify her account, and made unsuitable investment recommendations. The complaint settled in in 2005 for $7,500.

In 2002 a customer alleged Lisa Wolf, while employed at Merrill Lynch, failed to consult her about investments. The customer sought $142,500 in damages in the complaint, which was denied.

If you have lost money investing with Lisa Wolf, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. Fitapelli Kurta takes every case on a contingency basis, which means Fitapelli Kurta only gets paid if and when you collect money. By law there may be a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.