Mallory G Spence (CRD#6405652) and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

We protect investors rights

The Securities Lawyers at Halling & Cayo, S.C. are currently investigating potential claims on behalf of investors. If you suffered losses related to securities recommended by this individual, we are interested in discussing your options.

The brokerage industry reports any customer complaints made against or involving a broker on their publicly available Brokercheck Report. These reports are essential for transparency in the financial industry.

Claim(s) Made Against Mallory G Spence:

Claim Date: 4/2/2026

“Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.”

This claim, as of this posting, is currently Pending with a claim amount of $20,276.00 .

See more information on FINRA’s BrokerCheck site for Mallory G Spence.

Did you have a negative experience with Mallory G Spence?

The Securities Lawyers have recovered millions of dollars for investors across the United States and represent individuals and groups of investors who have suffered losses.These claims are typically resolved through FINRA Arbitration, as all brokerage firms embed binding arbitration clauses into their customer new account forms. (What is the disadvantage of FINRA arbitration) If you were a customer of Mallory G Spence and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including Mallory G Spence, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.If you were a client of Mallory G Spence and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from HOUSTON, TX, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. (A further explanation is here, My Financial Advisor lost my money, what now?.)

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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