Articles Tagged with Merrill Lynch

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $5,000,000.00 on December 22, 2023.

The claimants allege misrepresentation, omissions, and unsuitable investment recommendations in 2016 and 2017.

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

FINRA BrokerCheck shows a pending customer complaint on December 21, 2023.

The clients allege that registered representative failed to act in their best interest from 2019 through 2023.

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2024.

Client alleges failure to satisfy fiduciary responsibilities.

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

FINRA BrokerCheck shows a settled customer complaint on January 25, 2024.

Client alleges representative made unsuitable investments from 2/24/2021-11/25/2023.

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

FINRA BrokerCheck shows a settled customer complaint on February 05, 2024.

Client alleges misrepresentation of fee structures from 6/2/2023-1/31/2024.

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Client alleges that representative failed to follow instructions from 11/16/2023-02/08/2024.

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

FINRA BrokerCheck shows a pending customer complaint on March 15, 2024.

Customer alleges that former FA made a misrepresentation of an annuity contract in 2010 and that current FA failed to correct

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Kummerer (Kummerer), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kummerer 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 $315,872.00 on March 15, 2024.

The client alleges an unsuitable investment strategy

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

FINRA BrokerCheck shows a pending customer complaint on June 18, 2024.

Claimant alleges unsuitable investment recommendation and misrepresentation relating to options strategy from March 2024 to June 2024

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

FINRA BrokerCheck shows a settled customer complaint on February 12, 2025.

Customer alleges misrepresentation from January 2025 to February 2025.

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