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Our law firm is investigating MetLife Securities (“MetLife”) in connection with the supervision of Michael John Smeriglio, III (“Smeriglio”), CRD No. 2499903. On November 3, 2014, Smeriglio and FINRA entered into a Letter of Acceptance, Waiver and Consent (“AWC”), in connection with failing to provide documents and information requested by FINRA staff in August of 2014, in violation of FINRA Rules 8210 and 2010.
According to the AWC, “On August 1, 2014, during the course of an investigation into allegations that Smeriglio converted customer funds from the customer’s Estate and Trust, FINRA’s Office of Fraud Detection and Market Intelligence sent a letter to Smeriglio, pursuant to FINRA Rule 8210, requesting documents and information. The response was originally due by August 11, 2014, but was extended by agreement with Smeriglio’s counsel to August 15, 2014. Smeriglio did not respond to the Rule 8210 Request. On August 19, 2014, FINRA staff sent Smeriglio a second request for the documents and information requested in the August 1,2014 letter, pursuant to FINRA Rule 8216. On or about August 29, 2014, counsel for Smeriglio notified FINRA that Smeriglio would not be providing the documents and information requested in the letter dated August 1, 2014.” As of the filing of the AWC, Smeriglio had not provided FINRA with any documents or information. According to Smeriglio’s FINRA BrokerCheck, he resigned from MetLife “after admitting to taking loans from a customer account.”
If you invested with Michael John Smeriglio, III, please contact our law firm, toll free, at 888-997-9956.