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Category Merrill Lynch

Former Merrill Lynch Financial Advisor Peter Eckerline Has Nine Customer Complaints Disclosures, Alleging Sales Practice Misconduct

September 16, 2021

Peter Eckerline (CRD#: 1244319) is a previously registered Broker and Investment Advisor. He entered the securities industry in 1984 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc.   According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, a customer dispute was filed against Peter Eckerline.…

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

June 29, 2021

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

April 6, 2021

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…

Two Complaints Pending Against Merrill Lynch Financial Advisor Keith Simmons

January 30, 2021

Keith Simmons (CRD#: 730619) is a Financial Advisor at Merrill Lynch, Pierce, Fenner & Smith, Inc. He entered the securities industry in 1981; he has never worked for any other firm. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Keith Simmons has two pending customer disputes related to unsuitable investment…

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