FREE INITIAL CONSULTATION WITH ATTORNEYS WHO CAN HANDLE YOUR SECURITIES, COMMODITIES AND INVESTMENT PROBLEMS

The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in securities, commodities and investment law matters and constantly strives to secure the most favorable possible result. Mr. Pearce provides a complete review of your case and fully explains your legal options. The firm works to ensure that you have all of the information necessary to make a sound decision before any action is taken in your case.

For dedicated representation by a law firm with substantial experience in all kinds of securities, commodities and investment disputes, contact the firm by phone at 833-300-6983, toll free at 800-732-2889 or via e-mail. We may also be able to arrange a meeting with you at offices located in Boca Raton, Fort Lauderdale, Miami and West Palm Beach, Florida and elsewhere.

Nov 7, 2025

Northwestern Mutual Advisor Ryan Ainsworth Under Investigation For Alleged Misrepresentation

Ryan Ned Ainsworth, CRD# 5740339, is currently the subject of a customer dispute alleging misrepresentation, breach of fiduciary duty, breach of contract, negligent misrepresentation, and covenant of good faith and fair dealing violations connected to advisory accounts and mutual fund transactions. Our firm is investigating Northwestern Mutual Investment Services broker and investment adviser Ryan Ainsworth of Gilbert, Arizona, for potential investment-related misconduct. Financial Advisor’s Career History Ryan Ainsworth has been registered with Northwestern Mutual Investment Services, LLC (CRD#: 2881) since 2011, working primarily from branch offices in Washington and Arizona. His career includes roles as a registered representative, financial advisor, and insurance agent affiliated with various Northwestern Mutual entities. He holds licenses in 17 U.S. states and territories and has passed the SIE, Series 6, Series 63, and Series 65 examinations. Past and current positions include: Ryan Ned Ainsworth Fraud Allegations and Investor Complaints Explained According to FINRA disclosure records, Ainsworth has one settled customer dispute involving serious allegations related to his conduct. Customer Dispute – Settled Summary of Disclosures To obtain a copy of Ryan Ainsworth’s FINRA BrokerCheck report, visit this link. Robert Wayne Pearce Is Committed to Recovering Your Investment Losses FINRA Rules Implicated Ruling Part 1 Based on the allegations of misrepresentation and negligent misrepresentation, FINRA Rule 2020 (“Use of Manipulative, Deceptive or Other Fraudulent Devices”) is relevant. This rule prohibits brokers from engaging in any fraudulent or deceptive act in connection with the purchase or sale of securities. If a broker provides inaccurate or misleading information that influences an investor’s decisions, such conduct may constitute a violation of Rule 2020. Ruling Part 2 The alleged breach of fiduciary duty and breach of contract may implicate FINRA Rule 2010, which requires brokers to observe “high standards of commercial honor and just and equitable principles of trade.” Failure to act in a customer’s best interest, failure to disclose material information, or failure to execute duties with honesty and fairness can violate Rule 2010. Ruling Part 3 Allegations relating to advisory account mismanagement may also fall under FINRA Rule 2111 (“Suitability”). This rule requires that any securities recommendation must be suitable based on the customer’s investment profile. If unsuitable recommendations or failure to properly consider a client’s financial situation occurred, Rule 2111 may apply. The Law Offices of Robert Wayne Pearce, P.A. is a nationally recognized securities law firm representing investors in FINRA arbitration and securities fraud cases on a contingency fee basis. Robert Wayne Pearce, the founding attorney, has more than 45 years of experience recovering millions for victims of broker misconduct and investment fraud. He previously defended major brokerage firms and now uses that insight to protect investors nationwide. To discuss your case directly with Mr. Pearce, call (800) 732-2889 or email pearce@rwpearce.com for a free consultation.

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Nov 7, 2025

Dominari Securities — Kyle Michael Wool — Under Investigation For Alleged Unauthorized Trading, Unsuitability, and IPO Allocation Issues

Our firm is investigating Dominari Securities broker and investment advisor Kyle Michael Wool (CRD# 4238101) of New York, New York for potential investment-related misconduct. Financial Advisor’s Career History Mr. Wool is currently registered with Dominari Securities LLC (since April 18, 2023) in New York, NY. Previously, he was registered with Revere Securities LLC (Jan 2021–Apr 2023), Morgan Stanley (May/Jun 2013–Feb 2021, including Morgan Stanley Private Bank roles), Oppenheimer & Co. Inc. (Mar 2005–May 2013), Raymond James Financial Services, Inc. (Jun 2003–Apr 2005), Sands Brothers & Co., Ltd. (Apr 2002–Nov 2003), Global Capital Securities Corporation (Jan 2001–Mar 2002), and Global Capital Markets, LLC (Jul 2000–Jan 2001). Kyle Michael Wool Fraud Allegations and Investor Complaints Explained Based on FINRA’s BrokerCheck disclosures for Mr. Wool, the record reflects multiple customer disputes across several firms and time periods. Details and outcomes are summarized below. Key Disclosures (chronological highlights) Bullet-Point Disclosure Snapshot Note: FINRA reports may include contested, unresolved, or unproven allegations and parallel entries from different reporting sources (firm vs. broker). Final outcomes can differ from initial allegations. To obtain a copy of Kyle Michael Wool’s FINRA BrokerCheck report, visit this link. Our investigation focuses on whether losses tied to the disputes above resulted from sales-practice violations and whether investors have viable recovery options through FINRA arbitration. Robert Wayne Pearce Is Committed to Recovering Your Investment Losses FINRA Rule 2111 (Suitability). When a broker recommends a transaction or strategy, the recommendation must be suitable based on the customer’s investment profile (e.g., risk tolerance, objectives, time horizon). Allegations of unsuitable portfolios (e.g., 2006–2009 claims at Oppenheimer) and equity purchases not aligned with safety/emergency objectives (2003–2004 at RJFS) raise Rule 2111 concerns, including whether the broker had a reasonable basis for recommendations and whether the mix/turnover of securities fit the client’s profile. FINRA Rule 3260(b) (Discretionary Accounts & Unauthorized Trading). This rule restricts brokers from exercising discretion in customer accounts without prior written authorization and firm approval. Unauthorized trading allegations (e.g., 2020–2021 at Morgan Stanley Smith Barney) squarely implicate Rule 3260(b). The analysis looks at trade timing/size, absence of documented consent, and whether any “time and price” exceptions apply. FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade). Rule 2010 is a broad conduct standard. When complaints allege conversion, material misrepresentations/omissions, or mishandled IPO allocations (e.g., Dominari 2025), adjudicators often pair specific rules (e.g., 2111, 2090, 3110, 4330(a)) with Rule 2010 to address overall fairness and ethical obligations. Supervisory obligations under Rule 3110 may also be implicated where firm oversight of the broker’s activity is at issue. References to Reg BI may also arise when recommendations to retail customers are involved. For over 45 years, Robert Wayne Pearce has helped investors recover losses caused by broker fraud, negligence, and unsuitable recommendations. His firm, The Law Offices of Robert Wayne Pearce, P.A., represents clients nationwide on a no-recovery, no-fee basis. Call (800) 732-2889 or email pearce@rwpearce.com for a free case review with an experienced securities attorney.

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Nov 7, 2025

Morgan Stanley Broker Mohammed Arif Salim Under Investigation For Alleged Unauthorized Sales and Improper Customer Funds Transfers; FINRA Bar Following Refusal to Testify

Our firm is investigating Morgan Stanley broker and investment adviser Mohammed Arif Salim (CRD# 7126671) of New York, New York for potential investment-related misconduct. Financial Advisor’s Career History Mohammed A. Salim Fraud Allegations and Investor Complaints Explained FINRA Regulatory Bar (July 1, 2025) According to FINRA, Salim entered into an Acceptance, Waiver & Consent (AWC) on July 1, 2025 and consented to a bar in all capacities after he refused to appear for on-the-record (OTR) testimony in a FINRA investigation tied to his firm’s Form U5 filing. FINRA noted the Form U5 disclosed “concerns related to unauthorized sales, and funds transfers from a customer’s account to the representative’s creditors.” Although Salim initially cooperated, he ceased doing so, leading to the bar. Case No. 2024083984501. Employment Separation After Allegations (October 10, 2024) Salim was discharged by MSWM on October 10, 2024 based on allegations of unauthorized sales and transfers of customer funds to the representative’s creditors. Product type noted: No Product. Summary of Reported FINRA Disclosures To obtain a copy of Mohammed A. Salim’s FINRA BrokerCheck report, visit this link. Robert Wayne Pearce Is Committed to Recovering Your Investment Losses FINRA Rule 8210 (Provision of Information and Testimony) empowers FINRA to require associated persons to provide documents and appear for OTR testimony during investigations. Refusing to appear—as alleged here—is an independent violation and commonly results in a bar, regardless of the underlying misconduct being investigated. In Salim’s case, the AWC-based bar flowed from his refusal to provide OTR testimony concerning the Form U5 allegations. FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) requires high standards of conduct. Unauthorized sales and any improper movement of customer funds to satisfy a representative’s personal creditors, if proven, would breach Rule 2010 because such acts are inconsistent with just and equitable principles of trade, harm customers, and undermine market integrity. The employment discharge citing those allegations reflects the seriousness with which firms and regulators view such conduct. FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) prohibits the conversion or improper use of customer funds. Allegations that money moved from a customer account to the representative’s creditors—if substantiated—squarely implicate Rule 2150’s bar on misuse of customer assets, and, together with Rule 2010, can support strong remedial sanctions and investor recovery theories. For broader background on examinations and investigations, see this overview of FINRA investigations. For over 45 years, Robert Wayne Pearce has helped investors recover losses caused by broker fraud, negligence, and unsuitable recommendations. His firm, The Law Offices of Robert Wayne Pearce, P.A., represents clients nationwide on a no-recovery, no-fee basis. Call (800) 732-2889 or email pearce@rwpearce.com for a free case review with an experienced securities attorney.

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Nov 7, 2025

Stifel, Nicolaus & Company Broker Chuck Roberts Under Investigation for Alleged Structured Product Misconduct and FINRA Bar

Our firm is investigating former Stifel, Nicolaus & Company broker and financial advisor Chuck A. Roberts (CRD#: 2064602) of Miami, Florida, for alleged investment-related misconduct involving unsuitable recommendations of structured notes and other complex products. Roberts, who previously worked at major firms such as Morgan Stanley, Citigroup Global Markets, and Oppenheimer, was barred by FINRA in July 2025 after refusing to cooperate with an on-the-record testimony request during an investigation into numerous customer disputes totaling tens of millions of dollars. Financial Advisor’s Career History Chuck Roberts entered the securities industry in 1990 and spent over three decades with several major Wall Street firms. His registration history includes: Chuck A. Roberts Fraud Allegations and Investor Complaints Explained FINRA Bar (2025) In July 2025, FINRA permanently barred Roberts from the industry after he refused to appear for on-the-record testimony in connection with an investigation into customer arbitrations alleging his structured product recommendations were not in clients’ best interests and that he misrepresented product risks. The regulatory action (Case No. 2023079140201) resulted in a permanent industry bar under an Acceptance, Waiver, and Consent (AWC) resolution. Prior FINRA Sanctions (2010) In 2010, Roberts was censured, fined $40,000, and suspended for four weeks for violating NASD Rules 2110, 2790, and 3110. The findings stated he knew that sales assistants had replaced customer email addresses with their own, which caused trade confirmations to be misdirected, and that he failed to disclose related-party accounts under his management. State-Level Action – Illinois (2010) The Illinois Securities Department also initiated a revocation proceeding based on the same conduct, which resulted in a $1,000 fine and dismissal of further sanctions. Roberts agreed to abide by FINRA-imposed IPO trading restrictions. Customer Disputes Roberts has been the subject of 36 customer disputes, with at least eight settled and several resulting in multi-million-dollar FINRA arbitration awards. Allegations consistently involved unsuitable recommendations, breach of fiduciary duty, misrepresentation and fraud related to structured notes and alternative investments. Major Disclosures Include: Summary of Disclosures The disciplinary record for Chuck A. Roberts reveals a pattern of unsuitable recommendations, misrepresentations, and regulatory violations spanning more than a decade. Investors alleging losses tied to Roberts’ structured note recommendations or other investment strategies may have legal grounds for recovery through FINRA arbitration. To obtain a copy of Chuck A. Roberts’ FINRA BrokerCheck report, visit this link. Robert Wayne Pearce Is Committed to Recovering Your Investment Losses FINRA Rule 8210 – Failure to Cooperate Roberts’ 2025 permanent bar was issued under FINRA Rule 8210, which authorizes the regulator to compel brokers to provide testimony and documents. His refusal to appear constituted a violation of Rule 8210 and Rule 2010, resulting in the most severe industry sanction—a permanent bar. FINRA Rule 2110 – Standards of Commercial Honor The 2010 suspension involved breaches of Rule 2110, which requires members to observe high standards of commercial honor and just principles of trade. Roberts’ conduct—allowing falsified customer contact records—demonstrated a failure to uphold basic ethical obligations in client communications. NASD Rule 3110 – Supervision & Recordkeeping Roberts was also found to have caused his firm’s violation of SEC Rule 17a-3 and NASD Rule 3110, which require accurate books and records of customer accounts. The manipulation of client emails and failure to disclose related accounts reflect deficient supervisory practices and inadequate compliance oversight. For over 45 years, Robert Wayne Pearce has helped investors recover losses caused by broker fraud, negligence, and unsuitable recommendations. His firm, The Law Offices of Robert Wayne Pearce, P.A., represents clients nationwide. Call (800) 732-2889 or email Attorney Pearce for a free case review with an experienced securities attorney. Call (800) 732-2889 or email pearce@rwpearce.com for a free case review with an experienced securities attorney.

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Nov 6, 2025

Fidelity Brokerage Services LLC Financial Advisor Michael Gibson Under Investigation for Alleged Unsuitable Investment Recommendations in FINRA Complaint

Our firm is investigating Fidelity Brokerage Services LLC and Strategic Advisers LLC broker and investment adviser Michael Gibson (CRD# 4423740) of Sarasota, Florida for potential investment-related misconduct. Financial Advisor’s Career History Michael Gibson is currently registered with Fidelity Brokerage Services LLC (since March 16, 2017) and Strategic Advisers LLC (current registration effective March 31, 2025) with a branch office at 201 N Cattlemen Rd, Sarasota, FL 34243. He is licensed with two SROs and in numerous U.S. states and territories, and he holds the Certified Financial Planner (CFP) designation. Prior registrations include: Michael Gibson Fraud Allegations and Investor Complaints Explained FINRA-reported customer dispute (Pending): FINRA-reported financial disclosures (Final): Summary of Disclosures (per FINRA) To obtain a copy of Michael Gibson’s FINRA BrokerCheck report, visit this link. Robert Wayne Pearce Is Committed to Recovering Your Investment Losses Why investors contact our firm Investors harmed by alleged unsuitable recommendations or other misconduct may be able to pursue recovery through FINRA arbitration or litigation. We investigate timelines, products, and supervisory red flags to build the strongest possible case. What we look for in these cases We evaluate the suitability profile (customer’s age, financial situation, investment objectives, risk tolerance, and liquidity needs), product characteristics, and whether the firm supervised the recommendations consistent with FINRA rules. In the context of the allegations above, several FINRA rules commonly apply: FINRA Rule 2111 (Suitability). Rule 2111 requires that a broker have a reasonable basis to believe a recommendation is suitable for a customer based on the customer’s investment profile. When a customer alleges unsuitable recommendations (2006–2008), the analysis focuses on whether the products’ risks, costs, and concentration fit the customer’s objectives and risk tolerance at that time, and whether the broker performed reasonable diligence on the products and matched them properly to the client’s profile. FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade). Even when a rule-specific violation is not proven, conduct that falls short of high standards of commercial honor and just and equitable principles of trade may violate Rule 2010. Allegations of recommending mismatched or overly risky strategies, mischaracterizing risk, or failing to consider costs can implicate Rule 2010 when tied to unsuitable activity. FINRA Rule 3110 (Supervision). If the alleged unsuitability occurred while the broker was associated with a firm, supervisory systems are examined. Firms must establish and maintain a system to supervise activities reasonably designed to achieve compliance with securities laws and FINRA rules. In cases like the one pending in Ventura County, California, investigators review whether the firm’s reviews, exception reports, and approvals were adequate to detect or prevent unsuitable recommendations. For over 45 years, Robert Wayne Pearce has helped investors recover losses caused by broker fraud, negligence, and unsuitable recommendations. His firm, The Law Offices of Robert Wayne Pearce, P.A., represents clients nationwide on a no-recovery, no-fee basis. Call (800) 732-2889 or email pearce@rwpearce.com for a free case review with an experienced securities attorney.

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Apr 8, 2025

Eoghan Shields of J.P. Morgan Securities LLC Reviews

DID EOGHAN THOMAS SHIELDS CAUSE YOU INVESTMENT LOSSES? Eoghan Shields Customer Complaints and Reviews Eoghan Shields has one pending customer dispute: This disclosure highlights a high-value claim concerning the suitability of investment recommendations, a critical issue in financial advisory services. Allegations Against Eoghan Shields The pending arbitration involves significant financial claims and underscores the importance of ensuring that investment strategies align with client objectives and risk profiles. Eoghan Shields Red Flags & Your Rights As An Investor Of course, Eoghan Shields 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 Eoghan Shields at on alert to review carefully the activity and performance of their accounts and question whether Eoghan Shields has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC 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 833-300-6983. File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Eoghan Shields If you have questions about J.P. Morgan Securities LLC and/or Eoghan Shields 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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Apr 7, 2025

Timothy Semlick Formerly With Charles Schwab Co, Inc. FIRED

DID TIMOTHY DEAN SEMLICK CAUSE YOU INVESTMENT LOSSES? Timothy Semlick was recently fired from Charles Schwab & Co, Inc. for failing to comply with the firm’s Client Communications Procedures and Guidelines policy Timothy Semlick Employment History and Termination Negative Disclosures Summary Timothy Semlick has two disclosure events: Allegations and Accusations Timothy Semlick’s disclosures include one customer dispute and one employment termination. Specific allegations from the customer dispute involved the sale of auction rate securities with liquidity misrepresentations. The employment termination cited policy non-compliance at Charles Schwab & Co., Inc. These events are publicly documented for transparency purposes Timothy Semlick 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 Timothy Semlick is a red flag which should put all current and former customers of Timothy Semlick at Charles Schwab  Co, Inc. on alert to review carefully the activity and performance of their accounts and question whether Timothy Semlick engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab  Co, Inc.  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 833-300-6983. File A Claim To Recover Your Investment Losses At Charles Schwab  Co, Inc.  Due To Timothy Semlick If you have questions about Charles Schwab  Co, Inc. and/or Timothy Semlick 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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Apr 7, 2025

Robert Remine Formerly With Osaic Wealth, Inc.  FIRED

DID ROBERT LEE REMINE CAUSE YOU INVESTMENT LOSSES? Robert Remine was recently fired from Osaic Wealth, Inc. due to attempting to resolve a customer complaint without the firm’s knowledge or approval. This termination was related to firm policies rather than regulatory or legal violations. Robert Remine Employment History and Termination Negative Disclosures Summary Robert Remine has one reported disclosure event in his FINRA record: Robert Remine 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 Robert Remine is a red flag which should put all current and former customers of Robert Remine at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Robert Remine engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. 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 833-300-6983. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc.  Due To Robert Remine If you have questions about Osaic Wealth, Inc. and/or Robert Remine 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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Apr 7, 2025

Christopher Campbell of Raymond James Financial Services, Inc.  Reviews

DID CHRISTOPHER WILLIAM CAMPBELL CAUSE YOU INVESTMENT LOSSES? Christopher Campbell Of Raymond James Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Christopher Campbell Customer Complaints and Reviews Christopher Campbell has two disclosure events, both of which are pending customer disputes related to civil litigation as summarized below: Allegations Against Christopher Campbell Christopher Campbell Red Flags & Your Rights As An Investor Of course, Christopher Campbell 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 Christopher Campbell at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Campbell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. 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 833-300-6983. File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc. Due To Christopher Campbell If you have questions about Raymond James Financial Services, Inc. and/or Christopher Campbell 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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Apr 6, 2025

Trenton Whalen Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated FIRED

DID TRENTON KENNETH WHALEN CAUSE YOU INVESTMENT LOSSES? Trenton Whalen was fired from Merrill Lynch, Pierce, Fenner & Smith Incorporated on October 13, 2024, for failure to meet firm standards related to referrals Trenton Whalen Employment History and Termination Trenton Kenneth Whalen was a registered broker at Fifth Third Securities, Inc., from March 2018 to May 2021 followed by his most recent role with Merrill Lynch, Pierce, Fenner & Smith Incorporated, where he served as a Private Client Advisor II during his term from October 2023 to November 2024. Over his career, he passed three general industry/product exams, including the General Securities Representative Examination (Series 7) in October 2023 and March 2018, and one multi-state securities law exam (Series 66) in January 2024. Mr. Whalen’s employment with Merrill Lynch was terminated on October 31, 2024, following an internal investigation into a failure to meet firm standards related to handling referrals and entering into a financial arrangement with a client. Negative Disclosures Summary One reported disclosure event was noted: Trenton Whalen 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 Trenton Whalen is a red flag which should put all current and former customers of Trenton Whalen at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Trenton Whalen 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 833-300-6983. File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Trenton Whalen If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Trenton Whalen 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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