According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jacquin Fink (Fink), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Fink concern allegations of…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Dorschel (Dorschel), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dorschel recommended unsuitable investments in different investment products including debt…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Bernard Adair (Adair) 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 Adair was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Degraeve (Degraeve), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Degraeve recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker G Schein (Schein), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schein recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mustapha Fawal (Fawal), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fawal recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maceo Sloan (Sloan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sloan recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Scherr (Scherr), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scherr recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yao Tang (Tang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tang recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lino Gutierrez (Gutierrez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez recommended unsuitable investments in different investment products including debt…