Bernie Adair (CRD#: 1535429), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) of Jupiter, Florida, became involved in a customer dispute filed on July 15, 2019 in which a client alleges that the broker misrepresented the terms of a variable annuity, per his BrokerCheck record accessed on August 27, 2019.…

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Peter Huffman (CRD#: 5613027), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, is currently involved in a pending dispute in which a client is alleging he engaged in excessive trading to generate extra commissions (known as “churning”). The client is requesting $2,797,295 in damages, according to Peter Huffman’s…

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Fred Brown (CRD#: 1175385), a 32-year veteran of the securities industry whose career spans 9 firms, has been suspended by FINRA, the Financial Industry Regulatory Authority. Based in Alabama, Brown was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691). According to his BrokerCheck report, accessed on July 25, 2019, “Without…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 26, 2019 indicate that Michigan-based Merrill Lynch broker/adviser Jeffrey Smith has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 1908011). Jeffrey Smith has spent 30 years in…

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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that former Florida-based Merrill Lynch broker/adviser Christopher Hellman, who has received resolved or pending customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 28, 2019 indicate that New York-based Merrill Lynch broker/adviser Robert Gerstein has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gerstein (CRD# 840752). Robert Gerstein has spent 41 years…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Illinois-based Merrill Lynch broker/adviser Ben Dembla has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that New Jersey-based Merrill Lynch broker/adviser Michael Greenstone has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Greenstone (CRD# 709165). Michael Greenstone has spent 38 years in the…

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