One or more investors might have sustained losses because of securities broker Larry Leon Hyatt Jr. [CRD: 1506954, Salem, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Larry Hyatt worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from September 9, 2016, to April 10, 2025. Read on to learn more about […]

Investors may have incurred losses due to securities broker James Anthony Landeros (also known as James Landeros) [CRD: 6447130, Santa Barbara, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Landeros has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated since April 10, 2019, in a broker capacity, and since June 25, […]

Investors may have incurred losses due to securities broker Robert John Leverte III (also known as Bob Leverte) [CRD: 2283504, Atlanta, Georgia], based on publicly available information reported on FINRA BrokerCheck. Robert Leverte III has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated since September 8, 2006, at its Atlanta, Georgia office, and since […]

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, […]