Merrill Lynch

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

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Bradley (Bradley), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $100,000.00 on November 15, 2023.

Claimant alleges that, in June 2014, the representative failed to disclose the illiquid nature and risks associated with a non-traded business development company. Claimant further alleges that the recommendation was unsuitable.

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

June 23, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Spencer Miller (Miller) 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 Miller was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Miller’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on December 07, 2023.

The claimant alleges misappropriation and unsuitable investments from 2015 to 2023.

Broker Elamparithi Rajaguru in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

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

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

Customer alleges recommendations not in his best interests between July 2021 and February 2022.

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

June 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ethan Ladd (Ladd), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ladd 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 $47,000.00 on January 17, 2025.

The client alleges misrepresentation and forgery from 2/1/2022-1/17/2025.

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

June 19, 2025 | by Staff Attorney

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 settled customer complaint on April 19, 2024.

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

Broker Paulo De Souza in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 18, 2025.

Client alleges misrepresentation from April 2024-May 2025.

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

June 11, 2025 | by Staff Attorney

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.

Broker Daniel Ellison in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 11, 2025 | by Staff Attorney

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.

Broker Richard Neuman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

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.

Broker Andrew Sinsigalli in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 6, 2025 | by Staff Attorney

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.