Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that former California-based Merrill Lynch broker/adviser William Evans IV has received a pending customer complaint and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Evans (CRD# 4915297).
William Evans IV has spent 12 years in the securities industry and was most recently registered with Merrill Lynch in San Francisco, California (2017-2018). Previous registrations included Fidelity Brokerage Services in San Francisco, California (2015-2017); Stifel Nicolaus & Company in San Francisco, California (2011-2015); and Stone & Youngberg in San Francisco, California (2005-2011). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 27, 2006; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 21, 2005. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint.
In November 2018 a customer alleged William Evans, while employed at Stone & Youngberg, made unsuitable investment recommendations, violated the just and equitable principles of trade, committed fraud, made misleading statements, misleadingly omitted material facts, breached his fiduciary duty, negligently misrepresented material facts, acted negligently, breached contract and warranty, breached the covenant of good faith and fair dealing, committed elder abuse, and aided and abetted elder abuse. The customer is seeking $1,300,000 in damages in the pending complaint.
If you or someone you know has lost money investing with William Evans IV, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. 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.