Merrill Lynch

Broker Yitzchak Prag in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 09, 2025.

Client alleges investment recommendations were not in their best interest from February 2022 to April 2022

Broker Gregory Suzio in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Suzio (Suzio), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Suzio 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 $499,000.00 on April 04, 2024.

The claimant alleges unsuitable investment recommendations and misrepresentation from 2021 through 2023.

Broker Lillian Henderson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lillian Henderson (Henderson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $600,000.00 on April 22, 2024.

Claimant asserts various claims, including unsuitable recommendations and misrepresentation related to investments in his Edward Jones retirement account.

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

May 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Kleber (Kleber), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kleber 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 $48,450.00 on April 22, 2024.

Customer alleges failure to follow instructions from December 2022 to December 2023.

Broker Lawrence Nagel in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Nagel (Nagel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nagel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $50,000.00 on May 06, 2024.

The customers allege unsuitable investment recommendations and misrepresentations.

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

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 20, 2024.

Customer alleges misrepresentation in January 2024

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

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 15, 2024.

The client alleges unsuitable investment strategy and misrepresentations.

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

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reed 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 pending customer complaint on May 21, 2024.

The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.

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

May 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 23, 2024.

Customer alleges unauthorized trading of three mutual funds by Financial Advisor on April 10, 2024 when account was enrolled in a managed platform and automatically rebalanced all holdings within account.

Broker Paul Raehpour in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

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

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

The client alleges unauthorized trading.