Merrill Lynch

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

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $25,650.00 on October 03, 2025.

Client alleges misrepresentation of fees.

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

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

The Customer alleges misappropriation of funds and unsuitable investments from 2009 until 2017.

Broker Jack Newhouse in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Newhouse (Newhouse), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Newhouse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 27, 2022.

The client alleges misrepresentation and unsuitable investment recommendations related to a variable annuity purchase.

Broker Scott Harris in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 03, 2023.

Customer alleges unsuitable investment recommendation and failure to act in the best interest of the customer in 2020 and 2021.

Broker Penelope Donnelly in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 10, 2023.

Client alleges failure to follow instructions related to the liquidation of a mutual fund and transfer of proceeds in April 2022.

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

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Nash (Nash), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nash 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 $216,208.00 on April 18, 2023.

New Jersey client alleges their former financial advisor recommended unsuitable and excessive transactions in unspecified fixed income securities between 2018 and\, 2022 resulting in a loss.

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

October 18, 2025 | 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 on October 04, 2023.

Customer alleges unauthorized trading in account in June 2022.

Broker Lawrence Whipple in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lawrence Whipple (Whipple), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Whipple concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,000,000.00 on May 14, 2024.

Power of Attorney for client alleges excessive trading in client’s account from December 2022 to November 2023

Broker John Brow in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 15, 2024.

Customer alleges omissions about tax consequences related to the surrender of an annuity in 2024.

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

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mattiello (Mattiello), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mattiello 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 $15,000.00 on August 13, 2025.

Customer alleges unauthorized withdrawals from accounts.