Merrill Lynch

Broker Eduardo Martinez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Martinez (Martinez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Martinez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 22, 2023.

Respondent Martinez failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Gerard O’connell in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

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

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 24, 2025.

Client alleges failure to follow instructions related to a transfer of funds.

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

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2025.

The client alleges failure to follow instructions related to the sale of stock on November 6, 2025.

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

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 07, 2025.

The customer alleges failure to follow instructions related to the purchases and sales of certain exchange traded funds.

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

January 3, 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 pending customer complaint with a damage request of $651,709.00 on November 20, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE,MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND\, VIOLATION OF REG BI.

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

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Alexander (Alexander), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alexander 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 $21,000.00 on December 13, 2021.

The customer alleges unsuitable investment recommendations.

Broker David Teolis in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

December 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2021.

The customer alleges unauthorized trading on December 13, 2021.

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

December 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The client alleged unauthorized trading in his account in September 2021.

Broker Richard Pettibone in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

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

The customer alleges unsuitable investment recommendations in October of 2021.