Merrill Lynch

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

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John 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 final customer complaint on February 01, 2023.

Claimant alleges that Mr. Donnelly failed to follow his father’s instructions to make her the beneficiary of his father’s IRA.

Broker Paul Hauser in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Hauser (Hauser), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hauser 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 $100,000.00 on February 20, 2023.

Unsuitability, misrepresentation/omission

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

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Smith (Smith), previously 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 settled customer complaint with a damage request of $404,076.00 on March 22, 2023.

Clients allege that financial advisor failed to act in their best interest and made certain unsuitable investments from July 2011 to present.

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

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 28, 2023.

Clients allege financial advisor recommended an unsuitable investment strategy and misrepresented the risks associated with it.

Broker James Viktora in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2023.

Power of Attorney for deceased customer alleges failure to follow instructions and unauthorized transfer of account in November 2022.

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

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 02, 2023.

Customer alleges Financial Advisor misrepresented factors of his variable annuities from May 2020 to October 2020.

Broker Alexander Callahan in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.

Customer alleges misrepresentation, unsuitable investment recommendations and failure to act in customers best interest regarding investment strategies from September 2021 to March 2023.

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

September 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.

Customer alleges misrepresentation, unsuitable investment recommendations and failure to act in customers best interest regarding investment strategies from September 2021 to March 2023.

Broker Thomas Murphy in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Murphy (Murphy), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $150,000.00 on June 08, 2023.

Client alleges financial advisor failed to act in his best interest and made an unsuitable investment recommendation in October 2017.

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

August 28, 2025 | by Staff Attorney

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

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

Customer alleges that the registered representative did not act in the customers best interest regarding fees and commissions charged in March 2022.