Merrill Lynch

Broker David Kim in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

December 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The client alleged unauthorized trading in his account in September 2021.

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

December 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 27, 2021.

The customer alleges unsuitable investment recommendations in October of 2021.

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

December 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

The customer alleges that the Financial Advisor was not acting in his best interest regarding the fee structure of the account.

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

December 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

The customer alleges that the Financial Advisor was not acting in his best interest regarding the fee structure of the account.

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.