Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Warren Scroggie has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scroggie.
Warren Scroggie has spent 19 years in the securities industry and has been registered with Merrill Lynch in Ocala, Florida since 2009. Previous registrations include Banc of America Investment Services in Ocala, Florida (2004-2009) and Morgan Stanley DW in Purchase, New York (1999-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 26, 1999; Series 31 (Futures Managed Funds Examination), which he obtained on May 7, 1999; and Series 7 (General Securities Representative Examination), which he obtained on March 31, 1999. He is a registered broker and investment adviser with 15 US states: Alabama, California, Connecticut, Florida, Georgia, Michigan, Nevada, New Jersey, New York, North Carolina, Oregon, South Carolina, Vermont, Virginia, and Washington.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints.
In May 2018 a customer alleged Warren Scroggie, while employed at Merrill Lynch, failed to follow instructions in December 2015 and April 2018. The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer alleged Warren Scroggie, while employed at Merrill Lynch, recommended an unsuitable variable annuity. The customer sought unspecified damages in the complaint, which was denied.
In 2005 a customer alleged Warren Scroggie, while employed at Morgan Stanley DW, recommended unsuitable mutual funds and churned the account. The complaint settled for $25,000.
In 2004 a customer alleged he, while employed at Morgan Stanley DW, made unsuitable purchases and made investments solely to generate commissions. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has lost money investing with Warren Scroggie, 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.