There are options for clients of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Gregory Whelan (CRD# 5247677). He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fort Lauderdale, Florida, since 2013.
Gregory Whelan Customer Complaints
He has been the subject of two customer complaints between 2021 and 2024, according to his CRD report:
May 2024. “The customer alleges unsuitable investments, misrepresentations, and the use of personal email to engage in selling away.” The customer is seeking $2,000,000 in damages, and the case is currently pending.
February 2021. “The customer alleges unsuitable investment recommendations in July 2017 and a delay in following instructions in February 2020.” The case was settled for $100,000. The case was regarding cash management accounts and private securities.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Merrill Lynch, Pierce, Fenner & Smith Incorporated may be liable for investment or other losses suffered by Gregory Whelan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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