Merrill Lynch

Broker Mary Duffman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2026.

Client alleges unauthorized trading 11/24/2025-5/7/2026.

Broker Carrie Lawlor in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 23, 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 one disclosable event. These events include one customer complaint, 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 Jamie Esler in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Esler (Esler), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Esler 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 September 16, 2025.

Customer alleged Breach of Fiduciary Duty as related to contract negligence. Customer alleged damages from fees charged in connection to an invalid customer contract as well as pre judgment interest and cost of legal representation.

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

June 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rees Mason (Mason), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $1,200,000.00 on April 28, 2026.

Claimant alleges improper/unauthorized facilitation of a margin loan and misrepresentation of tax strategy.

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

June 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Isaiah Williams (Williams), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $40,000.00 on April 24, 2026.

Client alleges that he made personal loans to the Registered Representative.

There are Recent Customer Complaints with Broker Gerard O’connell in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

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

June 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 18, 2025.

Customer alleges failure to follow instructions in December 2025

Broker Bertram Johnson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Johnson (Johnson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $6,548.04 on February 23, 2026.

Client alleged theft of funds from a Bank of America checking account on January 12, 2026

Broker Fabio De Andrade in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio De Andrade (De Andrade), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that De Andrade 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 $24,713,303.00 on February 27, 2026.

Claimant alleges unsuitable investments from 2017 to March 2025.

Broker Mallory Spence in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mallory Spence (Spence), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spence 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 $20,276.00 on April 02, 2026.

Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.