Joseph Anthony Duffy (CRD#7145673) and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Joseph Anthony Duffy (CRD#7145673) regarding allegations made regarding the following:

Claim(s) Made Against Joseph Anthony Duffy:

Claim Date: 3/25/2020

“The customer alleges failure to follow instructions on March 25, 2020.”

This claim, as of this posting, is currently Settled.

The investor was paid $105,150.94 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Joseph Anthony Duffy.

Have an issue with Joseph Anthony Duffy?

The Securities Lawyers have successfully recovered millions of dollars for investors across the country and are currently considering bringing claims on behalf of individuals or groups of investors who have suffered losses. If you are a former customer of Joseph Anthony Duffy and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.

If you were a client of Joseph Anthony Duffy and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from WHITE PLAINS, NY and had a negative experience, we are interested in discussing the possibility of pursuing a claim on your behalf. Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Joseph Anthony Duffy. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.