Merrill Lynch

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.

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

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Boggs (Boggs), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boggs 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 $23,317.98 on October 06, 2020.

Firm proactively reached out to client and presented possible fraudulent withdrawals from client’s account from February 2016 to July 2016.. Client confirmed charges in the amount of $23,317.98 were not authorized.

Broker Stephen Brown in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen 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 with a damage request of $100,000.00 on October 13, 2020.

The customer alleges that in November 2013, the registered associate failed to obtain the proper form to withdraw funds from the intended Individual Retirement Account. Instead, the withdrawal came from of an annuity that was not to be drawn upon until a certain age in order to receive a guaranteed rate.

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

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Gingerella (Gingerella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gingerella 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 $900,000.00 on October 20, 2020.

Alleges unsuitable trading between May 2014 to March 2016.

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

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2020.

Client alleges FA made misrepresentation regarding mutual fund holdings from January 2020 to October 2020.

Broker Mcfaddin Moise in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

Currently financial advisor Mcfaddin Moise (Moise), currently employed by brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on November 17, 2020.

Claimants allege their registered representative recommended one non-traded REIT purchase which was allegedly unsuitable.

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

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2020.

The customer alleges unauthorized trading in March 2020.

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

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Swenson (Swenson), 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 Swenson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 10, 2020.

Respondent Swenson failed to respond to FINRA request for information.

Broker Ryan Wanta in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Wanta (Wanta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wanta 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 $36,213.73 on January 31, 2021.

The customer alleges failure to follow instructions on December 9, 2020.

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

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

The beneficiary alleges unauthorized trading in early 2021.