Merrill Lynch

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

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hacker (Hacker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hacker 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 $485,149.00 on August 23, 2021.

Client alleges that registered representative made unsuitable recommendations and misrepresented or failed to disclose the nature/risks of certain investments and failed to follow instructions for a stop-loss order from June 1, 2016 to June 30, 2022.

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

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Midas (Midas), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Midas 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, 2021.

The customer alleges failure to follow instructions in March 2020 and December 2020.

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

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drennan (Drennan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drennan 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.

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

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarred Collins (Collins), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.

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

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Candella (Candella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Candella 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.

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

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death.

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

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death

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

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

The Personal Representative alleges that the Financial Advisor failed to obtain the proper Transfer on Death form in order to have the accounts successfully transferred upon decedent’s death.

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

January 18, 2026 | by Staff Attorney

Previously financial advisor Maureen Schulde (Schulde), previously employed by brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on November 08, 2021.

Client alleges breach of fiduciary duty related to unsuitable recommendation of non-traded REIT.

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

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on November 15, 2021.

LeFranc Joseph who was not a named party to the action. Joseph’s name did not appear in the body of the SOC, however, DLA made a best efforts attempt and confirmed that he was the IC who sold the investments at issue in the SOC. The allegations do not include misappropriation, forgery, theft or conversion of funds or securities. Allegation period December 22, 2015 to November 15, 2021