Former Merrill Broker Peter Eckerline Involved in $242 Million Dispute
Peter Eckerline (CRD# 1244319), formerly a broker registered with Merrill Lynch, recommended unsuitable investments that led to nine-figure losses, according to an investor dispute. This dispute can be found in his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile, accessed on August 3, 2023. As this record reflects, the former Wayzata, Minnesota financial professional is no […]
Merrill’s Alan Mann Involved in New Customer Dispute
Alan Mann (CRD# 1827683), a broker registered with Merrill Lynch, made unsuitable and unauthorized transactions, according to an investor dispute. These allegations can be found in his BrokerCheck profile, published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2023. More information about his alleged conduct is available in this post. Pending […]
Merrill Lynch’s Scott Nash Allegedly Recommended Excessive Trades
Scott Nash (CRD# 1126026), a broker registered with Merrill Lynch, allegedly recommended excessive transactions. This allegation can be found in his BrokerCheck report, a record published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 5, 2023. According to FINRA, Mr. Nash is registered with his firm’s office in Marlton, New Jersey. Dispute […]
Bill King Resigned from Merrill Lynch Over Trading Violations: Customer Suits Followed
Bill King (CRD# 1432593) recently resigned from his position as a broker with Merrill Lynch in Vero Beach, Florida. According to his Financial Industry Regulatory Authority BrokerCheck report, accessed on June 11, 2023, his resignation stemmed from alleged trading violations. The financial professional, who is not currently registered with any broker-dealer firm, has also been […]
Ross Berman Fired by Merrill Lynch in Florida
On February 15, 2023, Merrill Lynch ended its associated with Florida broker Ross Berman (CRD #4355980) and reported details of the termination to the Financial Industry Regulatory Authority, or FINRA. Berman is not currently licensed with any other FINRA member firm. This information was last accessed from FINRA on March 9, 2023. MDF Law […]
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 […]
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
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 […]