Merrill Lynch

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

July 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 25, 2025.

Client alleges unauthorized trading in February 2021.

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

July 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2025.

Customer alleges unauthorized trading in account on December 5, 2024.

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

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Pirog (Pirog), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pirog 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 $41,057.00 on May 09, 2025.

The client alleges misrepresentation April 2025.

There are Recent Customer Complaints with Broker J Byron Davies in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J Byron Davies (Davies), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Davies 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 $370,795.74 on May 16, 2025.

Client alleges unsuitability and misrepresentation.

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

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 18, 2025.

Client alleges misrepresentation from April 2024-May 2025.

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

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ginestro (Ginestro), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ginestro 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2019 to 2023.

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

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reza Zafari (Zafari), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Zafari 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2015 to 2023.

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

July 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2025.

Client alleges failure to follow instructions.

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

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Roman (Roman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 $972,498.00 on June 03, 2025.

The client alleges misrepresentation and suitability.

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

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Spickler (Spickler), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spickler 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 $350,000.00 on May 29, 2025.

The claimant alleges unsuitable investment strategy and failure to follow instructions from 2020 to 2025.