Merrill Lynch

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.

Broker Alex Paredes Malaga in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Paredes Malaga (Paredes Malaga), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Paredes Malaga 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 $750,000.00 on June 26, 2024.

Attorney for the client alleges misrepresentation, unsuitable recommendations and failure to act in the client’s best interest from September 2021 through June 2023.

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

April 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Parrett (Parrett), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Parrett 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 $11,949.00 on July 10, 2024.

Claimant alleges omissions about tax consequences related to the surrender of an annuity in March 2023.

Broker Adrian Munoz in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 22, 2025 | by Staff Attorney

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

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

The customer alleges failure to follow instructions related to the investment of funds from a rollover.

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

April 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 30, 2024.

Customer alleges misrepresentation of managed account fees from 2018 to 2024

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

April 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 26, 2024.

Customer alleges financial advisor used their sign on to trade their self-directed account from May 2024 through August 2024

Broker Sidney Williams in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.

Client alleges failure to follow instructions in April 2024

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

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2025.

Client alleges misrepresentation from 11/24/2024-2/27/2025.