Merrill Lynch

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.

Broker Paul Akre in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 3, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Paul Akre (Akre) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Akre was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Akre’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on April 16, 2020.

Claimants allege FA sold them private securities that were unsuitable investments

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

June 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Estremera (Estremera), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Estremera 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 27, 2020.

Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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

June 28, 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.

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

June 28, 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.

Broker Kyle Kelley in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 04, 2026.

Client alleges misrepresentation of the past performance of an exchange traded fund.

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

June 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 28, 2026.

Client alleges Reg BI concerns