Investors may have incurred losses due to securities broker Yitzchak I. Prag [CRD: 7221045, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Yitzchak Prag worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from November 3, 2020, to May 23, 2024. Read on to find out more about the […]

Investors might have sustained losses because of securities broker Alex Paredes-Malaga (also known as Alex Eduardo Malaga, Alex Paredes Malaga, and Alex Eduardo Paredes Malaga) [CRD: 7191576, Brea, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paredes-Malaga has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since January 1, 2020, […]

Investors potentially experienced sales practice violations due to securities broker Tony Wei Wang [CRD: 4531200, Newport Beach, California], according to publicly available information through FINRA’s BrokerCheck. Evidently, Wang has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since November 5, 2010, serving both as a broker and an investment adviser at the firm’s Newport […]

One or more investors apparently complained about securities broker Cynthia S. Smith (also known as Cynthia Stein) [CRD: 2386038, Fort Myers, Florida], based on disclosures through FINRA’s BrokerCheck. Smith has been registered with Merrill Lynch Pierce Fenner Smith Incorporated in Fort Myers, Florida, since April 2, 2002. She has worked continuously with this firm in […]

Investors might have sustained losses due to securities broker Valery Lynn Oswald (also known as Valery Lynn Sager and Valery Lynn Schollenbarger) [CRD: 1997347, Oklahoma City, Oklahoma], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Oswald worked for Raymond James Associates Inc. from January 10, 2014, to July 17, 2018. See the […]

Investors potentially experienced sales practice violations due to securities broker Shannon Renee Roehrs [CRD: 4359877, Las Vegas, Nevada], according to disclosures through FINRA’s BrokerCheck. Evidently, Shannon Roehrs has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since October 23, 2009, and continues to serve as a broker and investment adviser at their Las Vegas, […]

One or more investors apparently complained about securities broker Wade MacDonald Wilson (also known as Wade Wilson) [CRD: 3001900, Upper Saint Clair, Pennsylvania], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wade Wilson has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since March 19, 1998, in the capacity […]

One or more investors apparently complained about securities broker Roxane Lillian Rose (also known as Roxane Rose, Roxanne Lillian Welz) [CRD: 2722816, Santa Fe, New Mexico], based on disclosures on FINRA BrokerCheck. Evidently, Roxane Rose has been registered with Merrill Lynch Pierce Fenner Smith Incorporated from September 22, 1999, to the present. Below, you can […]

Investors apparently complained about securities broker Randy Harris Schild [CRD: 2410144, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Schild has worked for Merrill Lynch Pierce Fenner Smith Incorporated since April 12, 2013. Keep reading to learn more about Schild’s disclosures involving client disputes and alleged sales practice violations. Merrill Lynch […]