Category: Merrill Lynch

Ali F. Chehab (CRD#: 7625979) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2022 and previously worked with Equitable Advisors, LLC, and Merril Lynch, Pierce, Fenner & Smith Incorporated. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the […]

Michael Magruder (CRD#: 4579211) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2003 and previously worked with Morgan Keegan & Company, Inc.; Raymond James & Associates, Inc; Wells Fargo Advisors, LLC; and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Current and Past Allegations of Conduct Leading to […]

Muhammad R. Wahdy (CRD#: 6266210) is a registered investment advisor with Wahdy Capital in San Francisco, CA. Broker’s History He entered the securities industry in 2014 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Wahdy Altahan; TD Ameritrade; Amerivest Investment Management; Wahdy Capital; Ameriprise Financial Services; Wells Fargo Clearing Services, LLC; and […]

John Nicholas Matson (CRD#: 1796541) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1996 and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Citigroup Global Markets Inc.; LPL Financial LLC; and Ameriprise Financial Services, Inc. Allegations of Misconduct According to publicly available records released by […]

Michael A. Mauro IV (CRD#: 5910550) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 2011 and previously worked with Chase Investment Services Corp.; J.P Morgan Securities, LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; and LPL Financial LLC. Allegations of Misconduct According to publicly available records released […]

Stephen M. Medina (CRD: 2614773) is a registered broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Corpus Christi, TX.   Broker’s Background He entered the securities industry in 1995 and has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since then.   Current and Past Allegations of Conduct […]

Jeffrey Kirkpatrick (CRD#: 3069597) was a previously registered broker, and investment adviser. Broker’s Background Kirkpatrick was first registered with FINRA in 1998. He previously worked at Merrill Lunch, Pierce, Fenner & Smith Incorporated; H&R Block Financial Advisors; and Sterne Agee Financial Services, Inc; LPL Financial LLC; Hamilton Investment Counsel, LLC; and Transitus Wealth Partners LLC. […]

Ernest Frerking (CRD#: 2588177) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1999 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD No. 7691) is a long-term member of FINRA for more than 80 years, and recently resolved a FINRA investigation involving its failure to supervise mutual fund transactions between 2015 and 2021. The FINRA sanction imposes a censure and directs Merrill Lynch to pay $13.4M in restitution plus […]

Patrick Brown (CRD#: 6089009) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2012 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2020, received an allegation against Patrick Brown. […]