Merrill Lynch

Broker Jason Tarver in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Tarver (Tarver), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tarver 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 $5,173,597.57 on December 30, 2020.

The Claimant alleges an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities in December of 2018. Claimant also alleges that she did not authorize the opening of the line of credit, as well as multiple wire transfers initiated by her then husband between 2017 and 2019. Additionally, Claimant alleges that her signature was forged by her former husband on opening documents for a loan management account.

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

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Taylor (Taylor), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $5,173,597.57 on December 30, 2020.

The Claimant alleges an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities in December of 2018. Claimant also alleges that she did not authorize the opening of the line of credit, as well as multiple wire transfers initiated by her then husband between 2017 and 2019. Additionally, Claimant alleges that her signature was forged by her former husband on opening documents for a loan management account.

Broker Nadya Mirza in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

Client alleges representative misrepresented that client could take out funds under to the CARES Act without penalty.

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

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Pesavento (Pesavento), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pesavento 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 January 06, 2021.

The deceased customer’s estate and trust alleges unsuitable investment recommendations and failure to disclose excessive fees.

Broker Alexandre Maltez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

Client expressed concerns relating to the performance of certain investments she purchased.

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

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 23, 2026.

Client alleges misrepresentation, unsuitable recommendation, and omission of material facts.

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

April 1, 2026 | by Staff Attorney

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

The customer alleges unauthorized trading on August 10, 2020.

Broker Di Jin in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Di Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin 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 $30,646.00 on September 03, 2020.

Through their attorney, the customer alleges misrepresentations were made, as well as the unauthorized purchase of bonds from March 3, 2020 until March 20, 2020.

Broker Jeremy Newton in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

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

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

The customer alleges misrepresentations and failure to follow instructions from May 9, 2019 until September 11, 2020.

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

March 30, 2026 | by Staff Attorney

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

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

The customer alleges the fraudulent transfer of stocks.