Merrill Lynch

Broker Frank Robertazzi in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Robertazzi (Robertazzi), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Robertazzi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,000.00 on March 19, 2022.

The customer alleges misrepresentation and omission of material facts regarding a preferred stock purchase in January of 2022. The customer also alleges that the advisor did not have his best interest when recommending the preferred stocks.

Broker Janna Rosenberg in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janna Rosenberg (Rosenberg), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rosenberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,000.00 on March 19, 2022.

The customer alleges misrepresentation and omission of material facts regarding a preferred stock purchase in January of 2022. The customer also alleges that the advisor did not have his best interest when recommending the preferred stocks.

There are Recent Customer Complaints with Broker John Power in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Power (Power), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Power recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Client alleges failure to follow instructions in 2021.

There are Recent Customer Complaints with Broker Patrick Crowley in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Crowley (Crowley), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Crowley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 11, 2022.

Client alleges registered representative failed to follow his instruction on March 30, 2016.

There are Recent Customer Complaints with Broker Steven Ernst in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ernst (Ernst), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ernst recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 14, 2022.

Client alleged misrepresentation concerning the use of margin from November 9, 2018 until April 30, 2022.

Broker William Meinel in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Meinel (Meinel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Meinel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,000.00 on May 24, 2022.

The client alleges that a misrepresentation was made in May of 2015.

There are Recent Customer Complaints with Broker Kavi Fulena in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kavi Fulena (Fulena), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fulena recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

The customer alleges unsuitable investment recommendation in September 2020, misrepresentation and failure to follow instructions to move money out of the market at a certain threshold.

Broker Ronald White in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald White (White), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that White recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

Broker Stephen Hlibok in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok 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 $337,668.75 on September 29, 2025.

Client alleges unauthorized trading 4/21/2025-4/25/2025

There are Recent Customer Complaints with Broker Debra Mesle in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Mesle (Mesle), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mesle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 07, 2025.

Customer alleges failure to follow instructions relating to investment of funds in account in September 2025.