Category: Merrill Lynch Complaints

Jan 11, 2025

Patrick Crowley Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated FIRED

Patrick Crowley (CRD #4977791) who was formerly registered as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Chicago, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Patrick Crowley has had an extensive career in the securities industry, having worked as a registered broker with three firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (2013–2024), Morgan Stanley (2009–2013), and Citigroup Global Markets Inc. (2006–2009). He passed three general industry exams and one multi-state securities law exam but holds no supervisory or principal licenses. Mr. Crowley was terminated by Merrill Lynch on October 15, 2024, due to policy violations related to Know Your Customer (KYC) compliance: not adhering to KYC standards for one customer and for using a personal device for business purposes. Additionally, he has a history of one settled customer dispute involving a failure to follow client instructions, which resulted in a settlement of $61,736.40. Crowley is no longer registered with any securities firm.

Keep Reading
Jun 26, 2023

Samuel Coquillard formerly with Pacific Global Fund Distributors, Inc.

Samuel Coquillard (CRD #2618780) who was formerly registered with Pacific Global Fund Distributors, Inc. and located in Glendale, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Pacific Global Fund Distributors, Inc., Samuel Coquillard was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
Jun 24, 2023

Ryan Taleghani of Morgan Stanley

Ryan Taleghani (CRD #6554123) who is currently registered as a broker and investment adviser with Morgan Stanley and located in Palo Alto, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Ryan Taleghani was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading
May 6, 2023

Michael Swenson formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated

Michael Swenson (CRD #1939942) who was formerly registered as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated and located in Wayzata, Minnesota, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch, Pierce, Fenner & Smith Incorporated, Michael Swenson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Swenson has had his own regulatory problems. He failed to respond to a FINRA request for information and was permanently barred from any further Association with any member firm in any capacity. Prior thereto, he was terminated for conduct involving exercising discretion and nondiscretionary client accounts and submission of inaccurate business expense reimbursement reports.

Keep Reading
Mar 8, 2022

Michael New of BMO Harris Financial Advisors

Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Keep Reading