Merrill Lynch

Broker Michael Ginestro in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ginestro (Ginestro), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ginestro 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2019 to 2023.

Broker Reza Zafari in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reza Zafari (Zafari), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Zafari 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2015 to 2023.

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

July 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2025.

Client alleges failure to follow instructions.

Broker Theodore Roman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Roman (Roman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 $972,498.00 on June 03, 2025.

The client alleges misrepresentation and suitability.

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

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Spickler (Spickler), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spickler 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 $350,000.00 on May 29, 2025.

The claimant alleges unsuitable investment strategy and failure to follow instructions from 2020 to 2025.

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

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2023.

The client alleges financial advisor made misrepresentations and unsuitable investment recommendations in June 2020.

Broker Maylan Studart Anders in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2023.

Customer alleges financial advisor failed to follow instructions from December 2022 to August 2023.

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

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franco Dimaio (Dimaio), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dimaio 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 $100,000.00 on August 09, 2023.

Time frame: October 2021\, Allegations: Failure to inform the Plaintiff about the lack of eligibility for rollovers when withdrawing funds from inherited IRA.

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

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rice (Rice), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rice 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 $5,624.86 on August 15, 2023.

Customer alleges unauthorized trading in account in August 2023.

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

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2023.

Claimants allege financial advisor made unsuitable investment recommendations and misrepresentations from 2021 through 2022.