Merrill Lynch

Broker Teena Bourque in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

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.

Broker Zachary Floberg in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

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.

Broker Jennifer Oprinski in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 27, 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 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

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

May 27, 2025 | by Staff Attorney

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

Broker James Landeros in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

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

Broker Larry Hyatt in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

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.

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

May 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Talavera (Talavera), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Talavera 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 $20,000.00 on March 13, 2025.

Customer alleges FA failed to follow instructions in February 2025.

Broker Drew Weinberger in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 20, 2025 | by Staff Attorney

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

Client alleges failure to follow instructions in January 2025.

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

May 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 21, 2025.

Customer alleges misrepresentation regarding guarantees on municipal bond investment.

Broker Barrett Jackson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 07, 2025.

Customer alleges misrepresentation on rate of return on investments between September 2024 and April 2025.