Merrill Lynch

There are Recent Customer Complaints with Broker Tony Wang in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Wang (Wang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 30, 2024.

Customer alleges misrepresentation of managed account fees from 2018 to 2024

There are Recent Customer Complaints with Broker Ali Chehab in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ali Chehab (Chehab), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chehab recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 26, 2024.

Customer alleges financial advisor used their sign on to trade their self-directed account from May 2024 through August 2024

Broker Sidney Williams in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sidney Williams (Williams), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.

Client alleges failure to follow instructions in April 2024

There are Recent Customer Complaints with Broker Wade Wilson in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wade Wilson (Wilson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 03, 2025.

Client alleges misrepresentation from 11/24/2024-2/27/2025.

There are Recent Customer Complaints with Broker Jeff Jin in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Bruce Manasevit in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Manasevit (Manasevit), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Manasevit recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 10, 2025.

Client alleges misrepresentation, suitability, and unauthorized trading.

There are Recent Customer Complaints with Broker John Revelle in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Revelle (Revelle), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one regulatory event, alleging that Revelle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 05, 2024.

Without admitting or denying the findings, Revelle consented to the sanctions and to the entry of findings that, without obtaining his member firm’s approval, he drafted, signed, and disseminated to third parties asset verification letters on firm letterhead that contained material misrepresentations. The findings stated that the material misrepresentations included incorrectly stating that the individual on whose behalf the letters were sent was a firm customer. In addition, one of the letters materially overstated the value of the individual’s assets, including crypto assets, and incorrectly stated that Revelle had ‘verified’ the individual’s assets, even though he had not taken any steps to do so. The findings also stated that Revelle engaged in an OBA that he failed to disclose to his firm. Revelle was employed by a third-party entity-a start-up decentralized crypto exchange-to assist the company in processing investments, for which he earned more than $29,000.

There are Recent Customer Complaints with Broker Craig Brinton in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Brinton (Brinton), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brinton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 20, 2024.

The customer alleges failure to follow instructions in July 2024.

Broker Donald Hansen in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Hansen (Hansen), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hansen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 22, 2024.

Claimant alleges excessive and unauthorized trading, misrepresentation and failure to follow instructions in account from 2015 to 2023.

Broker Scott Stevens in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Stevens (Stevens), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one regulatory, alleging that Stevens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 25, 2024.

The Securities and Exchange Commission (“Commission”) deems it appropriate that ceaseand-desist proceedings be, and hereby are, instituted against Grays Peak Ventures LLC (“Grays Peak”), Scott B. Stevens (“Stevens”), and Michael Winterhalter (“Winterhalter”) (collectively “Respondents”). In anticipation of the institution of these proceedings, Respondents have submitted Offers of Settlement which the Commission has determined to accept. The commission finds that Respondents were officers, directors, or significant shareholders of Agentix Corp. (“Agentix”). While subject to the reporting requirements above, Respondents failed to file timely, or amend timely, reports of their positions and certain transactions in Agentix securities. As a result, Respondents violated Sections 13(d) and 16(a) and related rules. As a result, Grays Peak and Stevens violated Sections 13(d)(1) and 16(a) of the Exchange Act and Rules 13d-1 and 16a-3 thereunder and Winterhalter violated Sections 13(d)(2) and 16(a) of the Exchange Act and Rules 13d-2 and 16a-3 thereunder.