Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that Texas-based Merrill Lynch broker/adviser Craig Wakefield is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wakefield (CRD# 2957545).
Craig Wakefield has spent 18 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2010. Previous registrations include Condera Securities in Houston, Texas (2004-2010); Neuberger Berman in New York, New York (2003-2004); Managers Distributors in Greenwich, Connecticut (2002-2003); and Merrill Lynch in New York, New York (1997-2000). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 4, 1997, and Series 7 (General Securities Representative Examination), which he obtained on November 18, 1997. He is a registered broker and investment adviser with 34 US states and territories.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In May 2018 a customer alleged Craig Wakefield, while employed at Merrill Lynch, misrepresented and recommended unsuitable investments in 2016. The customer is seeking $100,000 in damages in the pending complaint.
In 2003 a customer alleged Craig Wakefield, while employed at Merrill Lynch, recommended unsuitable investments that resulted in unnecessary tax liability. The customer sought $10,713 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Craig Wakefield, 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.