According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Mann (Mann), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mann recommended unsuitable investments in different investment products including debt…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Isaiah Williams (Williams) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Williams was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Rugnetta (Rugnetta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rugnetta recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Willets (Willets), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Willets recommended unsuitable investments in different investment products including debt…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Juan Rionda (Rionda) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Rionda was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ellis (Ellis), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ellis recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Fernandez (Fernandez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Fernandez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Don Hardison (Hardison), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Hardison recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Cook (Cook), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Cook recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lee Mcneill (Mcneill), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mcneill recommended unsuitable investments in different investment products including debt…