Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals details about securities broker Donald Leo Hansen Jr. [CRD: 3207894, San Francisco, California]. Hansen worked at Merrill Lynch from October 23, 2009, to March 22, 2024. Disclosures on BrokerCheck show allegations against Hansen stemming from his involvement with customers. Those allegations include unauthorized and excessive trading in client […]

Investors complained about securities broker Spencer M. Miller [CRD: 6273107, Westlake Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Spencer Miller has worked for Merrill Lynch Pierce Fenner Smith Incorporated since January 14, 2014. Here’s more about Spencer Miller’s disclosures. Merrill Lynch Pierce Fenner Smith Incorporated Investor Accused Miller Of […]

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 […]

Investors might have sustained losses due to financial advisor / securities broker Paul Raehpour [CRD: 4508598, McKinney, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paul Raehpour has worked for Merrill Lynch Pierce Fenner Smith Incorporated at their McKinney, Texas location since December 12, 2014. Keep reading to learn more about […]

Investors complained about securities broker Adam Jesse Gurien [CRD: 2302341, Jupiter, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Adam Gurien has worked for Merrill Lynch Pierce Fenner Smith Incorporated since August 19, 2011. Before that, he worked for Wells Fargo Advisors LLC, from May 11, 2001, to August 22, 2011. […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Melissa Plotkin Spickler (also known as Melissa P. Plotkin, Melissa P. Plotkins, and Melissa Plotkinspickler) [CRD: 719397, Bloomfield Hills, Michigan]. Notably, Spickler has worked for Merrill Lynch Pierce Fenner Smith Incorporated as both a broker and a […]

Investors may have incurred losses due to the actions of securities broker Eduardo Andrew Martinez (also known as Andrew Martins and Andrew E. Martin) [CRD#: 5950799, Stamford, Connecticut], according to disclosures of regulatory sanctions and investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez joined Merrill Lynch Pierce Fenner Smith Incorporated on October […]

Investors might have faced financial losses due to securities broker Donald DePiro [CRD: 3095140, Melville, New York], as indicated by disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePiro joined UBS Financial Services Inc. in Melville, NY, on February 18, 2021. Prior to this, he worked for Merrill Lynch Pierce Fenner Smith Incorporated in Riviera […]

Securities broker William King (also known as Bill King) [CRD: 1432593, Vero Beach, Florida] has come under scrutiny for multiple investor disputes during his tenure at Merrill Lynch Pierce Fenner Smith Inc. in Vero Beach, FL, from November 19, 1985, to May 4, 2023. This article provides a detailed overview of the disclosures related to […]