REBECCA TAYLOR THOMAS at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1085958
REBECCA TAYLOR THOMAS is an Investment Adviser, associated with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at LOUISVILLE, KY. REBECCA THOMAS’s Central Registration Depository (CRD) number is 1085958 and the FINRA Profile can be found at –

Disclosure #1 for REBECCA THOMAS

    • Event Date: 7/30/2020
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: The customer alleges unauthorized trading from February 20, 2020 until April 3, 2020.
    • Settlement Amount: $613.91
    • Arbitration Docket Number:
    • Broker Comment: The firm’s investigation determined the accounts were managed utilizing outside money managers and the Financial Advisor was not responsible for the alleged trading. Due to an administrative error, there was a delay by the firm in terminating the managed account trait on the accounts.As a business accommodation, the firm provided an adjustment credit to resolve the dispute.
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Should I file a FINRA complaint against brokers like REBECCA TAYLOR THOMAS?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by REBECCA TAYLOR THOMAS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About REBECCA TAYLOR THOMAS

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Where can I find more details about REBECCA THOMAS's Investment Firm?

Visit to read a detailed report for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Are there any disclosures, allegations or complaints filed against REBECCA TAYLOR THOMAS?

Yes. There are disclosures, allegations, or complaints filed against REBECCA TAYLOR THOMAS. Click here to view all details

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Click here to download a detailed FINRA report for REBECCA THOMAS

Is it safe to do business with REBECCA TAYLOR THOMAS?

We’re not sure. Please research REBECCA THOMAS’s disclosures, allegations and complaints before taking a decision

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