Merrill Lynch

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

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Customer alleges misrepresentation of interest rate in June 2025.

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

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

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

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Scherr (Scherr), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scherr 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 September 12, 2025.

Client alleges improper solicitation of an account from 9/2024 to 5/2025.

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

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 30, 2025.

Customer alleges that the Registered Representative failed to follow instructions in 2024.

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

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lino Gutierrez (Gutierrez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez 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 $200,000.00 on September 26, 2025.

The customer alleges unsuitable investments and misrepresentations.

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

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $25,650.00 on October 03, 2025.

Client alleges misrepresentation of fees.

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

October 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Barbara Bart (Bart) 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 Bart was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Bart’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

The Customer alleges misappropriation of funds and unsuitable investments from 2009 until 2017.

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

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Newhouse (Newhouse), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Newhouse 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, 2022.

The client alleges misrepresentation and unsuitable investment recommendations related to a variable annuity purchase.

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

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott 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 settled customer complaint on January 03, 2023.

Customer alleges unsuitable investment recommendation and failure to act in the best interest of the customer in 2020 and 2021.

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

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 10, 2023.

Client alleges failure to follow instructions related to the liquidation of a mutual fund and transfer of proceeds in April 2022.