Merrill Lynch

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

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2023.

The client alleges financial advisor made misrepresentations and unsuitable investment recommendations in June 2020.

Broker Maylan Studart Anders in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 04, 2023.

Customer alleges financial advisor failed to follow instructions from December 2022 to August 2023.

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

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franco Dimaio (Dimaio), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dimaio 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 August 09, 2023.

Time frame: October 2021\, Allegations: Failure to inform the Plaintiff about the lack of eligibility for rollovers when withdrawing funds from inherited IRA.

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

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rice (Rice), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rice 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 $5,624.86 on August 15, 2023.

Customer alleges unauthorized trading in account in August 2023.

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

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2023.

Claimants allege financial advisor made unsuitable investment recommendations and misrepresentations from 2021 through 2022.

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

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Ferrer (Ferrer), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ferrer 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 $56,000,000.00 on August 24, 2023.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, third party beneficiary breach of contract, violation of Regulation BI, and negligent supervision related to alleged failure to provide advice on a concentrated position and alleged recommendation to use a line of credit to further concentrate their assets.

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

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Persinski (Persinski), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Persinski 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 $56,000,000.00 on August 24, 2023.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, third party beneficiary breach of contract, violation of Regulation BI, and negligent supervision related to alleged failure to provide advice on a concentrated position and alleged recommendation to use a line of credit to further concentrate their assets.

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

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aubrey Lee (Lee), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $122,977.00 on August 30, 2023.

Customer alleges unsuitable investment recommendations from 2010 through 2022.

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

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Medina 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 $782,500.00 on September 27, 2023.

Client alleges misrepresentations and unsuitable investments between February 2022 and December 2022.

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

June 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 09, 2023.

The customer alleges unauthorized trading in account in May 2023.