Merrill Lynch

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

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Thon (Thon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Thon 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 $250,000.00 on June 05, 2020.

The Customer alleges unsuitable investment recommendations and misrepresentation.

Broker Kevin Longo in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Customer alleges unsuitable investment recommendation in January 2020.

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

April 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2020.

The beneficiaries allege that the Trustee failed to pay insurance premiums resulting in a policy lapse.

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

April 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 30, 2020.

The customer alleges unauthorized trading from February 20, 2020 until April 3, 2020.

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

April 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 03, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations from October 2019 until March 2020.

Broker Jason Tarver in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Tarver (Tarver), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tarver 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 $5,173,597.57 on December 30, 2020.

The Claimant alleges an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities in December of 2018. Claimant also alleges that she did not authorize the opening of the line of credit, as well as multiple wire transfers initiated by her then husband between 2017 and 2019. Additionally, Claimant alleges that her signature was forged by her former husband on opening documents for a loan management account.

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

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Taylor (Taylor), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $5,173,597.57 on December 30, 2020.

The Claimant alleges an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities in December of 2018. Claimant also alleges that she did not authorize the opening of the line of credit, as well as multiple wire transfers initiated by her then husband between 2017 and 2019. Additionally, Claimant alleges that her signature was forged by her former husband on opening documents for a loan management account.

Broker Nadya Mirza in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

Client alleges representative misrepresented that client could take out funds under to the CARES Act without penalty.

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

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Pesavento (Pesavento), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pesavento 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 $250,000.00 on January 06, 2021.

The deceased customer’s estate and trust alleges unsuitable investment recommendations and failure to disclose excessive fees.

Broker Alexandre Maltez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

Client expressed concerns relating to the performance of certain investments she purchased.