Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gregory DePaul Whelan (also known as Gregory Whelan) [CRD: 5247677, Fort Lauderdale, Florida]. Gregory Whelan previously worked for UBS Financial Services Inc. from January 2011 to July 2011 and Morgan Stanley from August 2011 to May 2013. Since April 2013, he has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Recent disclosures raise concerns about Whelan’s conduct, including allegations of unsuitable investments and misrepresentations.
On May 14, 2024, a client of Merrill Lynch filed a FINRA arbitration claim [FINRA Arbitration No. 24-01030], alleging that Gregory Whelan engaged in unsuitable trading, misrepresentations, and used personal email to conduct unauthorized selling activities (“selling away”). The claims involve listed equities, real estate investment trusts (REITs), private securities, and life settlements. The client has requested $2,000,000 in damages. This matter remains pending.
On February 24, 2021, a Merrill Lynch client filed a FINRA arbitration claim [FINRA Arbitration No. 21-00495] alleging that Whelan provided unsuitable investment recommendations in July 2017 and delayed following client instructions in February 2020. The dispute involved cash management accounts and private securities. Merrill Lynch resolved the case on October 26, 2021, by paying $100,000 to the client. Gregory Whelan did not contribute financially to the settlement.
If so, reach out to Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney. With experience representing investors across the U.S., Soreide Law Group works on contingency, advances costs, and helps clients recover losses from sales practice misconduct when possible. Whelan and the firms he worked for deny accusations of sales practice violations
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
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