Merrill Lynch

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

February 8, 2026 | 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 with a damage request of $428,000.00 on November 24, 2025.

Client alleges failure to follow instructions.

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

February 7, 2026 | by Staff Attorney

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

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

The client alleges she loaned the Financial Advisor money for an investment strategy that would generate 30% returns. The client states the Financial Advisor has only made nominal repayments to the loan and she has not received a 30% return.

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

February 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.

Plaintiff alleges misrepresentations regarding portfolio performance and tax consequences.

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

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reginald Rasmussen (Rasmussen), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rasmussen 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 $500,000.00 on December 16, 2025.

The Claimants alleged unsuitable investment strategy and excessing trading in accounts between 2018 and 2022.

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

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok 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 $500,000.00 on December 22, 2025.

The client’s attorney alleges unauthorized trading.

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

February 3, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Griffin (Griffin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Griffin concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Attorney for customer alleges unauthorized and excessive trading in the account in October and November 2025.

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

January 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2021.

The customer alleges that she was the victim of an international wire fraud scheme and that the Financial Advisor advised her on methods to circumvent Firm processes in order for the wires to be approved from April 2018 until October of 2018.

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

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hacker (Hacker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hacker 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 $485,149.00 on August 23, 2021.

Client alleges that registered representative made unsuitable recommendations and misrepresented or failed to disclose the nature/risks of certain investments and failed to follow instructions for a stop-loss order from June 1, 2016 to June 30, 2022.

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

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2021.

The customer alleges failure to follow instructions in March 2020 and December 2020.

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

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drennan (Drennan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drennan 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 $1,600,000.00 on October 08, 2021.

The customer alleges unsuitable investment advice and a failure to advise on the unforeseen tax consequences of selling stocks.