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Brandon Sobel Allegedly Executed Excessive Trades in a Customers Account

Brandon SobelPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that New York-based Merrill Lynch broker/adviser Brandon Sobel is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sobel (CRD# 4464190).

Brandon Sobel has spent 14 years in the securities industry and has been registered with Merrill Lynch in New York, New York since 2016. Previous registrations include Morgan Stanley in New York, New York (2010-2016); Chase Investment Services in New York, New York (2007-2010); NFB Investment Services Corporation in New York, New York (2005-2007); Greenpoint Securities in Lake Success, New York (2004-2005); and Fahnestock & Company in New York, New York (2002). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 7, 2002, and Series 7 (General Securities Representative Examination), which he obtained on January 25, 2002. He is a registered broker and investment adviser with six US states: California, Colorado, Florida, New Jersey, New York, and Virginia.

According to his BrokerCheck report, Brandon Sobel has received one pending customer complaint.

In January 2018 a party of customers alleged Brandon Sobel, while employed at Morgan Stanley Smith Barney, executed excessive trades in managed/wrap accounts from 2011 until 2016. The customers are seeking $350,000 in damages in the pending complaint.

If you or someone you know has complaints regarding Brandon Sobel or Merrill Lynch, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.