Merrill Lynch

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

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terri 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 settled customer complaint on May 14, 2021.

The customer alleges a misrepresentation was made in May 2021.

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

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

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

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

Broker Wayne Rowlands in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Rowlands (Rowlands), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rowlands 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 $336,450.00 on May 20, 2021.

The customer alleges that a misrepresentation was made and that the Financial Advisor misappropriated funds from January 2018 until September 2019.

Broker Mark Carlson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Carlson (Carlson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Carlson 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 $300,000.00 on May 18, 2021.

The customer alleges unsuitable investment recommendations, misrepresentations and omission of material facts.

Broker Keith Simmons in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Simmons (Simmons), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Simmons 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 $8,000,000.00 on May 29, 2021.

The customer alleges unsuitable investment recommendations.

Broker Thomas Beyer in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Beyer (Beyer), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Beyer 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 $128,000.00 on June 14, 2021.

Suitability

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

February 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 14, 2021.

The customer alleges unsuitable sales transactions and misrepresentations from November 2019 until November 2020.

Broker Allan Fiore in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Fiore (Fiore), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fiore 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 $963,620.00 on June 23, 2021.

The customer alleges that the Financial Advisor placed her in an unsuitable investment strategy, made misrepresentations and made unauthorized trades in the account.

Broker Thomas Brusca in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2025.

Customer alleges Financial Advisor failed to follow instructions October 14 2025 to October 19 2025