Merrill Lynch

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.

Broker Isaiah Williams in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Isaiah Williams (Williams), previously 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 Williams 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 $3,500,000.00 on July 08, 2025.

Client alleges that the registered representative failed to act in his best interest and recommended an unsuitable asset allocation strategy.

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

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Gudenkauf (Gudenkauf), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gudenkauf 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 $1,000,000.00 on July 08, 2025.

Client alleges that the registered representative failed to act in his best interest in August 2021, related to the liquidation of a pension plan.

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

August 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.

The Claimants allege misrepresentation, unsuitable investment and failure to act in their best interest in 2023 – 2025.

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

August 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 10, 2025.

The Claimants alleges negligence, breach of fiduciary duty and failure to supervise from November 2020 to December 2022.

Broker Phillip Jones in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $5,000,000.00 on July 11, 2025.

The claimants allege misrepresentation, omissions, and unsuitable investment recommendations.

Broker Maurice Kelley in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.

The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.

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

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2022.

Customer alleges unsuitable investment recommendations from December 2020 through April 2022.

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

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 02, 2022.

The customer alleges unsuitable investment recommendations and misrepresentations from December 2020 through October 2022.