Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Goethel (Goethel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Goethel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.
Customer alleges misrepresentation and inadequate disclosure relating to alternative investments and claims that trading activity in her managed accounts resulted in unexpected tax consequences.