Merrill Lynch

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

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Lewis (Lewis), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $130,000.00 on April 27, 2020.

The customer alleges misrepresentations were made regarding trading activity on July 5, 2019.

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

May 7, 2026 | by Staff Attorney

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

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

The beneficiaries of the annuity allege a misrepresentation in valuation from November 2019 until May 2020.

Broker Harold Cho in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

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

The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.

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

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2020.

The customer alleges unauthorized trading on February 27 ,2020.

Broker Michael Turner in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

The customer alleges misrepresentations and failure to follow instructions from May 2019 through May 2020.

Broker William Thon in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Thon (Thon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Thon 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 $250,000.00 on June 05, 2020.

The Customer alleges unsuitable investment recommendations and misrepresentation.

Broker Kevin Longo in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Customer alleges unsuitable investment recommendation in January 2020.

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

April 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2020.

The beneficiaries allege that the Trustee failed to pay insurance premiums resulting in a policy lapse.

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

April 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 30, 2020.

The customer alleges unauthorized trading from February 20, 2020 until April 3, 2020.

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

April 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 03, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations from October 2019 until March 2020.