Merrill Lynch

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.

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.