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. […]

The Wolper Law Firm, P.A. is currently investigating claims against Merrill Lynch’s based on its sales practices with regard to Unit Investment Trusts (UITs) and, specifically, the sales practices of Merrill Lynch James Financial Advisors, Kelly Feehrer and Scott Mathews. Kelly Feehrer has been in the securities industry since 1986 and Scott Matthews has been […]

Tyler Delahunt (CRD#: 4419594) was a previously registered Investment Advisor and Broker at Merrill Lynch, Pierce, Fenner & Smith, Inc., in Atlanta, GA. He entered the securities industry in 2001 and previously worked for PFS Investments, Inc.; Raymond James Financial Services, Inc.; Raymond James & Associates, Inc.; Merrill Lynch, Pierce, Fenner & Smith, Inc., and […]

Ryan Raskin (CRD No. 5539610) was a general securities representative associated with Merrill Lynch until his termination in March 2020. Ryan Raskin has been in the securities industry since 2008 and previously worked at Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 13, 2021, Ryan Raskin […]

John Gatto (CRD # 1415454) is a Financial Advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Jericho, NY. John Gatto has been in the securities industry since 1986 and previously worked at Morgan Stanley, Citigroup Global Markets, Inc., and Lehman Brothers Inc. According to publicly available records released by the Financial Industry Regulatory […]