Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Finley (Finley), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Finley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $26,102.00 on March 27, 2026.
Customer alleges financial advisor made no recommendation from February 2023 through March 2026, expressing concerns regarding fiduciary oversight of uninvested funds during this timeframe.