Merrill Lynch

Broker Joseph Gibbons in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Customer alleges unsuitable investments from april 2011 to november 2024.

There is A Recent Customer Complaint with Advisor Brittany Ingman with Merrill Lynch

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 01, 2024.

The client alleges misrepresentation related to the beneficiary of an ira.

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

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 03, 2024.

The client alleges failure to follow instructions from october 7 to december 6, 2024

Broker Shannon Roehrs in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Roehrs (Roehrs), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roehrs 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 $2,377,594.00 on November 27, 2024.

Claimaint alleges unauthorizing trading, unsuitable investment recommendation, misrepresentation and failure to act in the customer’s best interest in July 2020.

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

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Butterworth (Butterworth), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Butterworth 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 $100,000.00 on December 18, 2024.

The customers allege unsuitable investment recommendations and misrepresentations.

Broker Ian Biggs in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

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

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

Customer alleges misrepresentation and failure to act in their best interest in October 2024.

Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Michael Byrd Has Customer Complaint

January 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

Client alleges unsuitable recommendations in June 2010 and July 2023

Merrill Lynch, Pierce, Fenner & Smith incorporated Broker Thomas Ellis Has Customer Complaint

January 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ellis (Ellis), previously associated with Merrill Lynch, Pierce, Fenner & Smith incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ellis 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 $1,000,000.00 on January 07, 2025.

Co-Personal Representatives for the estate allege that the Financial Advisor failed to act in the client’s best interest and made an unsuitable recommendation related to a variable annuity in June 2022.

Merrill Lynch, Pierce, Fenner & Smith Inc. Advisor Stephen Medina Has Customer Complaint

January 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Inc., has at least six disclosable events. These events include six customer complaints alleging that Medina recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $782,500 on September 27, 2023. The claim settled for $300,000.

Client alleges misrepresentations and unsuitable investments between February 2022 and December 2022.

Advisor Tyler Dean Delahunt barred from industry over unapproved business activity

April 22, 2023 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that advisor Tyler Dean Delahunt (“Delahunt”) has been accused by a securities regulator of engaging in unapproved business activities among other allegations. Delahunt was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and undisclosed outside business activity conduct. According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. (“Merrill Lynch”) at the time of the activity. If you have been a victim of Delahunt’s alleged misconduct our firm may be able to assist you in recovering funds.

In January 2021, FINRA brought a regulatory action and found that Delahunt consented to sanctions and findings that he failed to provide documents and information requested by FINRA in connection with its investigation into Delahunt’s termination. Delahunt’s former firm, Merrill Lynch filed a Form U5 disclosing his termination for alleged misconduct involving the solicitation of clients in an outside investment and participating in financial arrangements with clients. Continue Reading