Feb 16, 2025

John Forster Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated FIRED

DID JOHN JAMES FORSTER CAUSE YOU INVESTMENT LOSSES? John Forster was fired from Merrill Lynch, Pierce, Fenner & Smith Incorporated on November 6, 2024, due to compliance breaches John Forster Employment History and Termination John James Forster has over 45 years of experience in the securities industry. He has worked for multiple firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated (2012–2024), Morgan Stanley (2009–2012), and Citigroup Global Markets Inc. (1994–2009). He is currently registered with San Blas Securities LLC, effective November 19, 2024. He has passed five industry exams, including the Series 7 and Series 65, and holds licenses in 29 U.S. states. Mr. Forster has eight customer disputes reported, along with one employment termination. His termination from Merrill Lynch involved allegations of unauthorized trades and mismarking orders in non-discretionary accounts. On November 6, 2024, Merrill Lynch terminated Mr. Forster’s employment after an investigation into allegations of unauthorized order placements in non-discretionary accounts and mismarking trades. These actions raised significant compliance concerns, leading to his discharge. Negative Disclosures Summary John Forster’s disclosures include one termination and eight customer disputes: Allegations and Accusations John James Forster’s record includes multiple allegations of unauthorized trading, mismarking trades, and unsuitable recommendations. Specific issues include: John Forster Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of John Forster is a red flag which should put all current and former customers of John Forster at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether John Forster engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To John Forster If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or John Forster and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 11, 2025

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

DID PATRICK CROWLEY CAUSE YOU INVESTMENT LOSSES? Patrick Crowley was fired from Merrill Lynch, Pierce, Fenner & Smith Incorporated on October 15 2024, for failing to adhere to policy standards and using a personal device for business purposes. Patrick Crowley Employment History and Termination 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. Negative Disclosures Summary Two incidents were noted: Allegations and Accusations Patrick Crowley’s disclosures include one employment termination and one settled customer dispute. Patrick Crowley Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Patrick Crowley is a red flag which should put all current and former customers of Patrick Crowley at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Patrick Crowley engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Patrick Crowley  If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Patrick Crowley and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 2, 2025

Robert Outtrim Jr of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID ROBERT WINTHROP OUTTRIM JR CAUSE YOU INVESTMENT LOSSES? Robert Outtrim Jr Customer Complaints and Reviews Robert Outtrim Jr. has two disclosures on his FINRA record: one regulatory event and one customer dispute. Allegations Against Robert Outtrim Jr Key Allegations in Disclosures: Both disclosures suggest a need for careful scrutiny of Mr. Outtrim’s adherence to investment regulations and practices, despite his long-standing career in the securities industry. Robert Outtrim Jr Red Flags & Your Rights As An Investor Of course, Robert Outtrim Jr did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Outtrim Jr at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Robert Outtrim Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Robert Outtrim Jr If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Robert Outtrim Jr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 29, 2024

Daniel Ellison of Merrill Lynch, Pierce, Fenner & Smith Incorporated

DID DANIEL R ELLISON CAUSE YOU INVESTMENT LOSSES? Daniel Ellison Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 6 Customer Complaints For Alleged Broker Misconduct Daniel Ellison Customer Complaints and Reviews There are Six customer disputes noted: three settled disputes, two dismissed or denied disputes and one pending dispute Allegations Against Daniel Ellison Daniel Ellison Red Flags & Your Rights As An Investor Of course, Daniel Ellison did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Ellison at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Daniel Ellison has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Daniel Ellison If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Daniel Ellison and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 14, 2024

Cynthia Smith of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID CYNTHIA SMITH CAUSE YOU INVESTMENT LOSSES? Cynthia Smith Customer Complaints and Reviews Allegation Against Cynthia Smith The allegation against Cynthia S. Smith involves claims of an unsuitable investment strategy, and that the investment strategy implemented by Cynthia was unsuitable. Cynthia Smith Red Flags & Your Rights As An Investor Of course, Cynthia Smith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Cynthia Smith at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Cynthia Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Cynthia Smith If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Cynthia Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Dec 13, 2024

Mark Sorrell of Merrill Lynch, Pierce, Fenner & Smith Incorporated FIRED

DID MARK STEPHEN SORRELL CAUSE YOU INVESTMENT LOSSES? Mark Sorrell Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated was recently fired following allegations of providing inaccurate proof of funds letter on behalf of a client. Mark Sorrell Employment History and Termination Negative Disclosures Summary Mark Sorrell Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Mark Sorrell is a red flag which should put all current and former customers of Mark Sorrell at Merrill Lynch, Pierce, Fenner & Smith Incorporatedon alert to review carefully the activity and performance of their accounts and question whether Mark Sorrell engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Mark Sorrell If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Mark Sorrell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 28, 2024

Chad Zawacki of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID Chad Zawacki CAUSE YOU INVESTMENT LOSSES? Chad Zawacki Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Chad Zawacki Customer Complaints and Reviews Chad C. Zawacki has two customer disputes reported: Allegations Against Chad Zawacki Chad Zawacki Red Flags & Your Rights As An Investor Of course, Chad Zawacki did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Chad Zawacki at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Chad Zawacki has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Chad Zawacki If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Chad Zawacki and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 25, 2024

Alex Paredes-Malaga of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID ALEX E PAREDES-MALAGA CAUSE YOU INVESTMENT LOSSES? Alex Paredes-Malaga Customer Complaints and Reviews Alex E. Paredes-Malaga has one reported disclosure event on his record: Allegations Against Alex Paredes-Malaga Alex Paredes-Malaga Red Flags & Your Rights As An Investor Of course, Alex Paredes-Malaga did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alex Paredes-Malaga at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Alex Paredes-Malaga has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Alex Paredes-Malaga If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Alex Paredes-Malaga and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 23, 2024

Mary McDougall of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID MARY M MCDOUGALL CAUSE YOU INVESTMENT LOSSES? Mary McDougall Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 4 Customer Complaints For Alleged Broker Misconduct Mary McDougall Customer Complaints and Reviews Mary M. McDougall’s BrokerCheck report lists a total of 4 customer disputes. Here’s a breakdown of these disputes: Allegations Against Mary McDougall Mary McDougall Red Flags & Your Rights As An Investor Of course, Mary McDougall did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mary McDougall at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Mary McDougall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Mary McDougall If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Mary McDougall and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 22, 2024

Michael Lawrence of Merrill Lynch, Pierce, Fenner & Smith Incorporated Reviews

DID MICHAEL W LAWRENCE CAUSE YOU INVESTMENT LOSSES? Michael Lawrence Of Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct Michael Lawrence Customer Complaints and Reviews Michael W. Lawrence has been involved in two customer disputes: Allegations Against Michael Lawrence Michael Lawrence Red Flags & Your Rights As An Investor Of course, Michael Lawrence did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Lawrence at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Michael Lawrence has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Michael Lawrence If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Michael Lawrence and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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