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Merrill Lynch broker, Michael Bock: Complaints

shutterstock_45011008The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Florida-based Merrill Lynch broker/adviser Michael Bock (CRD# 1261530).

Michael Bock has spent 31 years in the securities industry and has been registered with Merrill Lynch in Miami, Florida since 2009. Previous registrations include Citigroup Global Markets in Coral Gables, Florida (2004-2009); Morgan Stanley DW in Purchase, New York (1999-2004); Prudential Securities in New York, New York (1994-1999); Lehman Brothers in New York (1988-1994); and E.F. Hutton & Company (1984-1988). Mr. Bock is a registered broker and investment adviser in 28 US states and territories.

According to his BrokerCheck report, Michael Bock is the subject of two customer complaints, one pending customer complaint, and two denied customer complaints.

  • In 2013 a customer alleged Michael Bock, while employed at Merrill Lynch, misrepresented material facts, made excessive trades, and failed to supervise his representatives. The customer is seeking $20,000,000 in damages in the pending complaint.
  • In 2004 a customer alleged Michael Bock, while employed at Morgan Stanley DW, recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
  • In 1999 a customer alleged Michael Bock, while employed at Prudential Securities, promised substantial profits from recommended stocks that in fact declined in value. The customer sought $50,000 in damages in the complaint, which was denied.
  • In 1994 a customer alleged Michael Bock, while employed at Shearson Lehman Brothers, breached his fiduciary duty, misrepresented material facts related to an investment, acted negligently, and recommended an unsuitable investment. The complaint settled in 1995 for $19,500.
  • In 1992 a customer alleged Michael Bock, while employed at Shearson Lehman Brothers, recommended an unsuitable investment. The complaint settled for more than $12,300.

If you have complaints regarding Michael Bock, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses.  All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. 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.

 

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