Articles Tagged with Merrill Lynch

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Isaiah Williams (Williams), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $40,000.00 on April 24, 2026.

Client alleges that he made personal loans to the Registered Representative.

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

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

FINRA BrokerCheck shows a settled customer complaint on December 18, 2025.

Customer alleges failure to follow instructions in December 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Johnson (Johnson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $6,548.04 on February 23, 2026.

Client alleged theft of funds from a Bank of America checking account on January 12, 2026

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio De Andrade (De Andrade), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that De Andrade 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 $24,713,303.00 on February 27, 2026.

Claimant alleges unsuitable investments from 2017 to March 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mallory Spence (Spence), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spence 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 $20,276.00 on April 02, 2026.

Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.

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

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

Customer alleges misrepresentation and inadequate disclosure relating to alternative investments and claims that trading activity in her managed accounts resulted in unexpected tax consequences.

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

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

The client alleges that the Financial Advisor failed to act in her best interest and made unsuitable recommendations and misrepresentations related to an options strategy.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Noonan (Noonan) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Noonan was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity.  If you have been a victim of Noonan’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on March 31, 2026.

Client/Ex-spouse alleges misappropriation involving activity in jointly held and individual accounts from February 2022 through March 2026.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Gladstein (Gladstein), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gladstein 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 $20,276.00 on April 02, 2026.

Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.

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