Articles Tagged with Merrill Lynch

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Customer alleges omissions about tax consequences related to the recommendation to move investments to a managed portfolio.

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2026.

Client alleges misrepresentation related to a managed account.

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2026.

Customer alleges misrepresentation regarding an alternative investment from 2014 through 2026.

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2026.

Client alleges failure to supervise.

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

FINRA BrokerCheck shows a pending customer complaint on March 26, 2026.

Client alleges failure to follow instructions regarding the investment of funds intended to be protected from risk in March 2026.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Finley (Finley), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Finley 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 $26,102.00 on March 27, 2026.

Customer alleges financial advisor made no recommendation from February 2023 through March 2026, expressing concerns regarding fiduciary oversight of uninvested funds during this timeframe.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reed 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 pending customer complaint on April 15, 2026.

The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.

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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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Loiterstein (Loiterstein), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Loiterstein 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 $570,000.00 on April 27, 2020.

The customer alleges misrepresentations in August 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mizzi (Mizzi), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mizzi 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 $19,954.72 on April 26, 2020.

The customer alleges failure to follow instructions on March 11, 2020.

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