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Neil Schmerling Subject of Investor Dispute

Neil Schmerling (CRD #: 4075729), a broker registered with Avantax Investment Services, is facing an investor dispute, according to his BrokerCheck record, accessed on April 6, 2022. Keep reading if you have questions about Neil Schmerling’s conduct as a broker.

Investor Dispute

On December 6, 2021, an investor alleged that Neil Schmerling incorrectly informed her that her money would be accessible. This dispute was denied by the firm.

However, firms do not need to allow an external review before denying disputes. Investors can still attempt to recover their losses through FINRA arbitration after their dispute has been denied.

Background Information

Neil Schmerling has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Neil Schmerling is a registered broker in 15 states and the District of Columbia. He is also a registered investment adviser in Pennsylvania.

In the past, he has worked for the following firms:

  • 1st Global Advisors (CRD#:111133)
  • 1st Global Capital (CRD#:30349)
  • Schmerling Financial Group (CRD#:122795)

Kurta Law Can Help

If you worked with Neil Schmerling and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.