Merrill Lynch

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

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfonso Boneta (Boneta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boneta 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 $500,000.00 on March 06, 2020.

Time frame: Unspecified Allegations: Claimant alleges the recommendation to hold Puerto Rico Municipal Bonds was unsuitable, and that her accounts were unsuitably over-concentrated in those investments. Claimant further alleges that the risk of concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Catherine Santiago Toca in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Santiago Toca (Santiago Toca), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Toca 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 $2,000,000.00 on March 09, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations.

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

July 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

The customer alleges failure to follow instructions on March 5, 2020.

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

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Through their Power of Attorney, the customer alleges unsuitable investment recommendations in 2008 and in 2015.

Broker Elizabeth Knier in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The Customers alleges failure to follow instructions from December 2019 to March 2020.

Broker Joseph Duffy in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

The customer alleges failure to follow instructions on March 25, 2020.

Broker Renee Burns in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

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

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

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

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

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.

The customer alleges unsuitable investment recommendations from November 2017 until January 2019.

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

July 22, 2026 | by Staff Attorney

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

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

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

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

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wesley Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 $8,000.00 on April 07, 2020.

The customer alleges failure to follow instructions on February 4, 2020.