Investors potentially experienced losses due to securities broker Isaiah Thomas Williams Jr. [CRD: 6211219, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Isaiah Williams worked for Merrill Lynch Pierce Fenner Smith Incorporated from April 13, 2017, to January 3, 2025. Keep reading to learn more about the disclosures involving this former […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Chad Christopher Zawacki (CRD: 2996799, Saint Paul, Minnesota). Evidently, Zawacki has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since February 20, 1998, and holds licenses across multiple U.S. states and territories. Since February 1998, he has been employed at Merrill Lynch, […]

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 […]

Investors have come forward with complaints about securities broker Jason Eugene Tarver (CRD: 2569913, Frisco, Texas). Evidently, the securities broker, who worked for Merrill Lynch, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Merrill Lynch clients allege that Tarver made unsuitable recommendations and engaged in unauthorized trading. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against securities broker James Charles Naify (CRD: 2316318, Beverly Hills, California). Evidently, Merrill Lynch Pierce Fenner Smith Incorporated terminated the securities broker for cause. Also, a UBS Financial Services Inc. investor complained about him. Here is a brief summary of the allegations against Naify. Merrill Lynch Pierce […]

Investors have come forward with complaints about John James Forster (CRD: 1303832, Washington, DC). Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Also, a Merrill Lynch Pierce Fenner Smith Incorporated client alleges that Forster failed to act in the client's […]

Soreide Law Group is investigating possible investor claims against securities broker Tyler Dean Delahunt (CRD: 4419594, Atlanta, Georgia). Evidently, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Allegedly, Delahunt failed to provide information and documents to FINRA when it conducted an investigation. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Blake Wayne Eskew (CRD: 6959564, Memphis, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Inc. Allegedly, Eskew failed to testify when FINRA investigated the securities broker for potential FINRA rule violations on unauthorized trading. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Thomas Eriksson (CRD: 2487298, Wayzata, Minnesota). Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Inc. Allegedly, Eriksson borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against […]