fbpx

Category: Merrill Lynch

Financial Advisor Ernest Frerking Barred by FINRA

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 Sanctioned by FINRA For Lack of Supervision

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 […]

Allegations of Selling Away Made Against Broker Todd Mercer

Todd Mercer (CRD#: 2270311) is a dually registered Broker and Investment Advisor at Sanctuary Securities, Inc. in Indianapolis, IN. Broker’s Background He entered the securities industry in 1992 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.; UBS Financial Services, Inc.; Morgan Keegan & Company, Inc.; Fifth Third Securities, Inc.; Liberty Securities Corporation; […]

Former Merrill Lynch Broker, Patrick Brown, Has Disclosed Settlement of $1.2 Million For The Alleged Fraudulent Transfer Of Stocks

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. […]

Merrill Lynch And Two Of Its Brokers, Kelly Feehrer And Scott Matthews, Sanctioned By FINRA For Unit Investment Trust Violations?

The Wolper Law Firm 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 in […]

Former Investment Advisor and Broker at Merrill Lynch, Pierce, Fenner & Smith, Inc, Tyler Delahunt, Barred Indefinitely After Failing to Participate in FINRA Investigation After Allegations of Selling Away

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 […]

Former Merrill Lynch General Securities Representative Ryan Raskin Barred By FINRA

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 […]

Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, John Gatto, Has Had Eight Customer Complaint Disclosures Alleging Sales Practice Misconduct

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 […]

Former Merrill Lynch, Pierce, Fenner & Smith Broker, Douglas Stopkey, Supsended by FINRA For Thirty Days For Allegedly Engaging In Unauthorized Trading in Senior Customers’ Accounts

Douglas Stopkey (CRD # 2209717) is currently registered at Davenport & Company, LLC in Richmond, VA. Douglas Stopkey has been in the securities industry since 1992 was registered with Merrill Lynch, Pierce, Fenner & Smith from 1992-2018. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 26, 2020, FINRA […]

Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker, Michael Calvin, Has Had Two Customer Complaint Disclosures Since January 2020

Michael Calvin (CRD # 3269670) is a Financial Advisor Merrill Lynch, Pierce, Fenner & Smith Incorporated in Austin, TX. Michael Calvin has been in the securities industry since 1999 and previously worked at UBS Financial Services, Inc., Covenant Advisors, LLC, World Group Securities, Inc., Eltekon Secutrities, LLC and The Penn Ivestment Group. According to publicly […]