Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Melz (Melz), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Melz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 11, 2025.
Client alleges misrepresentation in July 2019.