Thomas John Wagner (CRD#2235740) and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

We can help you recover investment losses

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.

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 Thomas John Wagner:

Claim Date: 3/24/2026

“Client alleges failure to supervise.”

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

See more information on FINRA’s BrokerCheck site for Thomas John Wagner.

Did you have a negative experience with Thomas John Wagner?

If you had a negative experience or issue with Thomas John Wagner and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from NEW YORK, NY, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Thomas John Wagner, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)

Recovery can often depend on finding a lawyer that “specializes in securities complaints” as the SEC reminds investors. (See more information in our video, How to file a complaint against a Financial Advisor.) If you are a former customer of Thomas John Wagner and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and 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 .

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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