Andrew Joseph Leblanc II, of New York, New York, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related arbitration claim, in which customers collectively requested $8,000,000.00 in damages based upon allegations that Leblanc sold away from the firm, made unsuitable investment recommendations to the customers, misrepresented and omitted investment information concerning direct investment products, and misappropriated assets from the customers’ investment portfolios. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01376 (May 25, 2017).

FINRA Public Disclosure confirms that Leblanc has been identified in two additional customer disputes alleging improper conduct during the time he was employed by Merrill Lynch. Particularly, on November 30, 2011, a customer filed an investment related written complaint involving Leblanc’s conduct, alleging that unsuitable investment recommendations were made pertaining to a variable annuity. Another customer complaint was filed on June 15, 2017, in which the customer requested $10,000.00 in damages supported by allegations that from August of 2010 to March of 2017, sales practice violations were committed in reference to the customer’s investments.

Leblanc’s employment with Merrill Lynch has been terminated as of April 4, 2017. Since April 7, 2017, he has been registered with Bruderman Brothers LLC.

Guiliano Law Firm

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