Merrill Lynch

Broker Elizabeth Knier in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The Customers alleges failure to follow instructions from December 2019 to March 2020.

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

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

The customer alleges failure to follow instructions on March 25, 2020.

Broker Renee Burns in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

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

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.

The customer alleges unsuitable investment recommendations from November 2017 until January 2019.

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

July 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David 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 settled customer complaint on March 30, 2020.

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

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

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wesley Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 $8,000.00 on April 07, 2020.

The customer alleges failure to follow instructions on February 4, 2020.

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

July 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The customer alleges unsuitable investment recommendations January 2020 until April 2020.

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

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Rubin (Rubin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rubin 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, 2020.

The beneficiaries allege that the Trustee failed to pay insurance premiums resulting in a policy lapse.

Broker Rebecca Thomas in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Thomas (Thomas), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thomas 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, 2020.

The customer alleges unauthorized trading from February 20, 2020 until April 3, 2020.

Broker Nicole Falciano in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

The customer alleges failure to follow instructions from January 2020 until April 2020.