Douglas Ross: Pending Complaint Against Merrill Lynch Rep
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 18, 2019 indicate that Ohio-based Merrill Lynch broker/adviser Douglas Ross has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ross (CRD# 3090150).
Douglas Ross has spent 20 years in the securities industry and has been registered with Merrill Lynch in Hudson, Ohio since 2014. Previous registrations include JP Morgan Securities in Akron, Ohio (2012-2014); Chase Investment Services in Akron, Ohio (2008-2012); Morgan Stanley & Company in Canton, Ohio (2008); Invest Financial Corporation in Barberton, Ohio (2005-2008); FirstMerit Securities in Akron, Ohio (2004-2005); UBS Financial Services in Weehawken, New Jersey (2001-2004); and Merrill Lynch in New York, New York (1998-2001). He has passed three securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on September 24, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 8, 1998. He is a registered broker and investment adviser with 14 US states and territories: Alabama, Arizona, California, Colorado, Florida, Illinois, Michigan, New York, North Carolina, Ohio, Pennsylvania, Texas, Washington, and Wyoming.
According to his BrokerCheck report, he has received one pending customer complaint and three customer complaints that were closed or denied.
In May 2019 a customer alleged Douglas Ross, while employed at Merrill Lynch, misrepresented material facts regarding equity trading and fees in her managed account. The customer is seeking $14,000 in damages in the pending complaint.
In 2009 a customer alleged Douglas Ross, while employed at Invest Financial Corporation, improperly sold an ING annuity. The customer sought $55,000 in damages in the complaint, which was closed with no action taken.
In 2002 a customer alleged Douglas Ross, while employed at Merrill Lynch, made an investment without her approval. The customer sought $20,000 in damages in the complaint, which was closed with no action taken.
In 2001 a party of customers alleged he, while employed at Merrill Lynch, bought and sold mutual funds without communicating with them. The customer sought $21,000 in damages in the complaint, which was denied.
If you have complaints regarding Douglas Ross, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.