Steven Goethel (CRD#5861475) and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

We help investors recover losses

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

If you were a client of this investment advisor, the securities lawyers at Halling & Cayo, S.C. would like to hear from you. We are analyzing potential claims related to the suitability of investments recommended by this broker.

Claim(s) Made Against Steven Goethel:

Claim Date: 4/2/2026

“Customer alleges misrepresentation and inadequate disclosure relating to alternative investments and claims that trading activity in her managed accounts resulted in unexpected tax consequences.”

This claim, as of this posting, is currently Pending.

See more information on FINRA’s BrokerCheck site for Steven Goethel.

Were you a customer of Steven Goethel?

The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration.) If you were a customer of Steven Goethel and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.
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 Steven Goethel, 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 Steven Goethel and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from JUPITER, FL, 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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