Merrill Lynch

Broker Rajeev Dhillon in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rajeev Dhillon (Dhillon) 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 Dhillon was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Dhillon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on January 16, 2026.

The client alleges misappropriation, altered documents and selling away from November 2022 to November 2023.

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

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 23, 2026.

Client alleges misrepresentation, unsuitable recommendation, and omission of material facts.

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

April 1, 2026 | by Staff Attorney

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

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

The customer alleges unauthorized trading on August 10, 2020.

Broker Di Jin in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Di Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin 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 $30,646.00 on September 03, 2020.

Through their attorney, the customer alleges misrepresentations were made, as well as the unauthorized purchase of bonds from March 3, 2020 until March 20, 2020.

Broker Jeremy Newton in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 11, 2020.

The customer alleges misrepresentations and failure to follow instructions from May 9, 2019 until September 11, 2020.

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

March 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2020.

The customer alleges the fraudulent transfer of stocks.

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

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Boggs (Boggs), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boggs 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 $23,317.98 on October 06, 2020.

Firm proactively reached out to client and presented possible fraudulent withdrawals from client’s account from February 2016 to July 2016.. Client confirmed charges in the amount of $23,317.98 were not authorized.

Broker Stephen Brown in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Brown (Brown), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 October 13, 2020.

The customer alleges that in November 2013, the registered associate failed to obtain the proper form to withdraw funds from the intended Individual Retirement Account. Instead, the withdrawal came from of an annuity that was not to be drawn upon until a certain age in order to receive a guaranteed rate.

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

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Gingerella (Gingerella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gingerella 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 $900,000.00 on October 20, 2020.

Alleges unsuitable trading between May 2014 to March 2016.

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

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2020.

Client alleges FA made misrepresentation regarding mutual fund holdings from January 2020 to October 2020.