Merrill Lynch

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

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reed Smith (Smith), currently 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 pending customer complaint on April 15, 2026.

The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.

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

May 11, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Paul Akre (Akre) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Akre was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Akre’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on April 16, 2020.

Claimants allege FA sold them private securities that were unsuitable investments

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

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Loiterstein (Loiterstein), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Loiterstein 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 $570,000.00 on April 27, 2020.

The customer alleges misrepresentations in August 2015.

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

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mizzi (Mizzi), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mizzi 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 $19,954.72 on April 26, 2020.

The customer alleges failure to follow instructions on March 11, 2020.

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

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Lewis (Lewis), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $130,000.00 on April 27, 2020.

The customer alleges misrepresentations were made regarding trading activity on July 5, 2019.

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

May 7, 2026 | by Staff Attorney

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

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

The beneficiaries of the annuity allege a misrepresentation in valuation from November 2019 until May 2020.

Broker Harold Cho in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

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

The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.

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

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2020.

The customer alleges unauthorized trading on February 27 ,2020.

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

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

The customer alleges misrepresentations and failure to follow instructions from May 2019 through May 2020.

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

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Thon (Thon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Thon 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 June 05, 2020.

The Customer alleges unsuitable investment recommendations and misrepresentation.