Securities Arbitration Lawyer Blog
Merrill Lynch broker Hector J. Gonzalez has six pending customer complaints on his CRD, including one customer complaint filed in 2020 claiming $3 million in losses. The claims allege unsuitable investment recommendations and misrepresentations.
Mr. Gonzalez (CRD#: 5330726) has been in the securities industry for 13 years. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since 2010. He was previously registered with UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto Rico between September 2007 and June 2010.
Mr. Gonzalez has been the subject of eight customer complaints, most of which allege the same types of violations outlined in the pending cases.