Investors might have sustained losses due to financial advisor/ securities broker Scott Gerald Thole [CRD: 4516390, Saint Paul, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thole has been employed by Merrill Lynch Pierce Fenner Smith Incorporated since May 13, 2016. Continue reading to learn more about the allegations and disclosures related to Scott Thole.
Evidently, on May 20, 2024, a Merrill Lynch Pierce Fenner Smith Incorporated client filed a complaint about Scott Thole. The client alleged misrepresentation. Because of this, the investor supposedly sustained damages on options. As a result, they requested damages from Merrill Lynch or Thole. Merrill Lynch settled this matter on June 30, 2024, for $209,350.00 in damages.
Also, on August 6, 2004, an HR Block Financial Advisors Inc. client filed a complaint about Scott Thole. The client alleged unsuitable recommendations. Because of this, the investor supposedly sustained damages on over-the-counter equities and mutual funds. Consequently, they requested $6,000 in compensation from HR Block Financial Advisors Inc. The firm denied the allegations on November 11, 2004.
Have you incurred losses because of Scott Thole? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group investment loss recovery lawyers help individuals throughout the United States, work on a contingency fee basis, and advance all costs. Thole and brokerage firms Thole worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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