Variable Annuity Complaint Against Merrill Lynch’s Milton Tanaka


Honolulu broker and Merril Lynch investment adviser Milton Tanaka (CRD# 2499204) is involved in a pending customer dispute. This is according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 25, 2022. Pending Complaint Alleges Unsuitable Recommendations In February 2022 a customer filed a complaint alleging Mr. Tanaka made unsuitable investment recommendations, […]

Merrill Lynch Fires Joseph Szal Over Trading Violations


Joseph Szal (CRD# 2216245) was recently terminated from his position at Merrill Lynch in Irvine, California in connection to alleged rule violations. According to his Financial Industry Regulatory Authority, he is currently registered with Tempus Wealth Planning in Irvine. Merrill Lynch Fired Szal over Alleged Rule Violations In January 2022 Merrill Lynch fired Mr. Szal […]

FINRA: Kurt Stein Involved in $300,000 Complaint


Kurt Stein (CRD# 3159180) is involved in a pending customer dispute alleging unsuitable investment recommendations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 3, 2022, he is currently registered as a broker and investment adviser with Quint Capital, also known as Skymount Capital, in New York City. Customer: Kurt Stein […]

Former Merrill Lynch Advisor Patrick Dwyer Involved in $5.3 Million Dispute


Former Merril Lynch Advisor Patrick Dwyer (CRD# 2250476) is involved in pending disputes alleging damages of $5.3 million. According to his Financial Industry Regulatory Authority BrokerCheck report, last accessed on February 2, 2022, he was most recently registered as a broker with Merrill Lynch in Miami, Florida. His Securities and Exchange Commission-maintained Investment Adviser Public […]

Merrill Lynch Fires Alabama Advisor Pat Brown and Pays $4.2 Million Customer Settlement


Alabama financial advisor Pat Brown (CRD 1148258) has been fired by Merrill Lynch. This is according to disclosures released by FINRA on January 11, 2020. He continues to be licensed as RFG Advisory, an SEC registered investment advisor. June 2021: Multi-Million Dollar Settlement On October 27, 2021, Merrill Lynch agreed to pay a customer settlement […]

Complaint Against Merrill Lynch Settles for $1.8

M Financial Planning Enters Consent Agreement with Pennsylvania

Harold Cho (CRD # 2202603) has been involved in a $1.8 million settlement to resolve a complaint against Merrill Lynch. This is according to his BrokerCheck report accessed on January 10, 2022. According to records reviewed from the Financial Industry Regulatory Authority, the complaint involved a customer that alleged unauthorized trading from March 11, 2020 […]

Investor Seeks Over $400,000 in Arbitration Involving John Gatto


John Gatto (CRD #: 1415454), an investment advisor registered with Merrill Lynch, Pierce, Fenner, & Smith, has a new customer complaint involving an alleged failure to follow instructions, according to his BrokerRecord, accessed on January 10, 2022. Mr. Gatto also has two settled customer disputes on his record as well as disputes that were denied […]

Merrill Lynch Fined $2 Million over Trading Violations

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Merrill Lynch recently entered into a consent order with the state of New Hampshire on December 2, 2020. Here are the details: Investors complained that accounts sustained significant losses at a time when the market was gaining. The advisor excessively traded “global best of breed” stocks. The investor also suffered significant losses in inverse and […]

Securities Regulators Alleged Jesse Webb Engaged in Dishonest Behavior – Dishonest or Unethical Conduct


Jesse Webb (CRD# 2298761) allegedly engaged in “dishonest or unethical behavior in the securities industry” that resulted in the denial of his registration application by state regulators. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, Mr. Webb is currently a representative of Ameriprise Financial Services in The […]

Former Merrill Lynch Advisor Glen Turner Has History of Complaints


Glen Turner (CRD# 2503850) recently departed Merrill Lynch for Kestra Investment Services’ branch office in Boca Raton, Florida. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 2, 2021, Mr. Turner has been involved in several customer complaints. Customer Complaints: Turner Made Unsuitable Recommendations, Used Margin FINRA records describe two […]