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Gripeo > Blog > Consumer News > Daryn Pingleton: Exposed with the Allegations of SEC
Consumer News

Daryn Pingleton: Exposed with the Allegations of SEC

Last updated: November 24, 2023 4:35 am
GripeO - Web Desk
Published: November 24, 2023
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Daryn Pingleton is a wealth advisor based in Merrill Lynch Wealth Management, West Palm Beach, Florida.
Daryn Pingleton
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1

Who is Daryn Pingleton (CRD#: 1520639)?Everything you need to know about Daryn Pingleton and their accolades

Daryn Pingleton is a wealth advisor based in Merrill Lynch Wealth Management, West Palm Beach, Florida. His office is located at 222 Lakeview Ave Suite 1300, West Palm Beach, FL 33401, US and its phone number is 561-514-4817. 

1Who is Daryn Pingleton (CRD#: 1520639)?
2About Merrill Lynch Wealth Management:
3Daryn Pingleton Disclosures: BrokerCheck, FINRA, And SEC Reports
4Daryn Pingleton Lawsuits, Legal Battles, & Disputes
5Daryn Pingleton Complaints, Class Action Lawsuits & Legal Battles
6Better Alternatives to Daryn Pingleton (By Experts):
2

About Merrill Lynch Wealth Management:History, achievements, leadership, lawsuits, & disputes

What is Merrill Lynch Wealth Management?

Merrill Lynch Wealth Management is a division of Bank of America that provides financial planning and investment management services to individuals, families, and businesses. The firm has a long-standing history of serving the financial needs of clients, and it is well-known for its sophisticated investment products and services.

The history of Merrill Lynch Wealth Management

Merrill Lynch Wealth Management was founded in 1914 by Charles Merrill and Edmund Lynch. The company was initially established to provide investment banking services to middle-market companies. However, over the years, Merrill Lynch expanded its services to include retail brokerage, wealth management, and financial planning.

In 2009, Merrill Lynch was acquired by Bank of America, and the two companies merged to form one of the largest financial institutions in the world. Today, Merrill Lynch Wealth Management has over 14,000 financial advisors and manages over $2.3 trillion in client assets.

The benefits of using Merrill Lynch Wealth Management

One of the primary benefits of using Merrill Lynch Wealth Management is the firm’s extensive resources and expertise. The company has a team of experienced financial advisors who work closely with clients to develop customized investment strategies based on their individual needs and goals.

Merrill Lynch Wealth Management also provides clients with access to a wide range of investment products and services, including mutual funds, exchange-traded funds (ETFs), stocks, bonds, and alternative investments. Additionally, the firm offers a variety of tools and resources to help clients monitor their investments and make informed decisions about their financial future.

How Merrill Lynch Wealth Management works

The key features of Merrill Lynch Wealth Management

Merrill Lynch Wealth Management offers a range of features to help clients manage their investments and plan for their financial future. Some of the key features of the firm include:

Financial planning:

Merrill Lynch Wealth Management offers comprehensive financial planning services to help clients achieve their financial goals. The company’s financial advisors work with clients to develop customized financial plans based on their individual needs and goals.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Investment management:

Merrill Lynch Wealth Management offers a range of investment management services, including portfolio management, asset allocation, and investment research.

Retirement planning:

Merrill Lynch Wealth Management offers a range of retirement planning services to help clients plan for their retirement. The firm’s financial advisors can help clients develop a retirement savings plan, estimate retirement expenses, and evaluate retirement income sources.

The different types of accounts offered by Merrill Lynch Wealth Management

Merrill Lynch Wealth Management offers a range of account options to meet the unique needs of individual clients. Some of the account options offered by the firm include:

Individual Retirement Accounts (IRAs):

Merrill Lynch Wealth Management offers traditional, Roth, and SEP IRAs to help clients save for retirement.

Brokerage accounts:

Merrill Lynch Wealth Management offers a range of brokerage accounts, including individual, joint, and custodial accounts.

Trusts and estates:

Merrill Lynch Wealth Management offers trust and estate planning services to help clients protect their assets and ensure that their wishes are carried out.

How to open an account with Merrill Lynch Wealth Management

Opening an account with Merrill Lynch Wealth Management is a straightforward process. Clients can either contact a financial advisor directly or visit the Merrill Lynch Wealth Management website to get started. The firm’s financial advisors will work with clients to determine their investment goals and risk tolerance and recommend an investment strategy that is tailored to their individual needs.

The fees and costs associated with Merrill Lynch Wealth Management

Merrill Lynch Wealth Management charges clients a fee based on a percentage of assets under management. The fee varies depending on the size of the account and the services provided. Additionally, some investment products and services offered by Merrill Lynch may also have additional fees and expenses.

The Merrill Lynch Wealth Management mobile app

Merrill Lynch Wealth Management offers a mobile app that allows clients to monitor their investments and access account information from their mobile devices. The app provides real-time market data, investment news, and alerts to help clients stay informed about their investments.

The Merrill Lynch Wealth Management website

The Merrill Lynch Wealth Management website provides clients with access to a range of tools and resources to help them manage their investments and plan for their financial future. The website includes market data, investment research, and educational resources to help clients make informed investment decisions.

How to achieve financial success with Merrill Lynch Wealth Management

Achieving financial success with Merrill Lynch Wealth Management requires a proactive approach to managing your investments and planning for your financial future. Here are some tips to help you get started:

Set clear financial goals:

To achieve financial success, it’s important to set clear financial goals and develop a plan to achieve them. Work with your financial advisor to identify your short-term and long-term financial goals and develop a plan to achieve them.

Monitor your investments:

Regularly monitoring your investments is essential to ensuring that your portfolio remains aligned with your investment goals and risk tolerance. Work with your financial advisor to regularly review your portfolio and make adjustments as needed.

Diversify your portfolio:

Diversifying your portfolio is essential to managing risk and achieving long-term investment success. Work with your financial advisor to develop a diversified investment strategy that is tailored to your individual needs and goals.

Take advantage of tax-efficient strategies:

Managing taxes is an important part of achieving financial success. Work with your financial advisor to identify tax-efficient investment strategies that can help you minimize your tax liability and maximize your investment returns.

Common misconceptions about Merrill Lynch Wealth Management

There are several common misconceptions about Merrill Lynch Wealth Management. Here are a few of the most common misconceptions:

It’s too expensive:

While Merrill Lynch Wealth Management charges a fee for its services, the firm’s fees are competitive with other wealth management firms. Additionally, the firm’s extensive resources and expertise can help clients achieve long-term investment success.

It’s only for wealthy clients:

While Merrill Lynch Wealth Management does serve high-net-worth clients, the firm also offers services to individuals with more modest investment portfolios.

It’s only for investment management:

While investment management is a key part of Merrill Lynch Wealth Management’s services, the firm also offers a range of financial planning services to help clients achieve their financial goals.

24/11/2023 Update
As of now, Daryn Pingleton has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by their victims. Furthermore, he has only focused on propagating his fake PR.
3

Daryn Pingleton Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, and litigation against Daryn Pingleton

BrokerCheck report of Daryn Pingleton includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.

As per the report, 5 Customer Dispute and 1 Regulatory Event disclosure has been reported against Daryn Pingleton.

Such a disclosure event entails-

This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, se regulatory organization, federal regulatory such as the Securities and Exchange Commission, or foreign financial regulatory body for a violation of investment-related rules or regulations; or (2) a revocation or suspension of a broker’s authority to act as an attorney, accountant, or federal contractor.

This type of disclosure event involves a final, consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practice violations against the broker that resulted in an arbitration award or civil judgment for the customer.

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding, or civil suit containing allegations of sale practice violations against the broker that resulted in a monetary settlement to the customer.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck

Daryn W Pingleton – Broker at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (finra.org)

Daryn-PingletonDownload

SEC Litigations & Forms

Daryn Pingleton
Daryn Pingleton: Exposed with the Allegations of SEC 18

Source: Daryn Pingleton – SEC Site Search Search Results

4

Daryn Pingleton Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Daryn Pingleton

There might be more pending lawsuits against Daryn Pingleton which are not listed on these directories. Lawsuit files are often deleted from online directories. So, if you cannot find any lawsuits against Daryn Pingleton on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

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Daryn Pingleton: Exposed with the Allegations of SEC 19

CourtListener

Lawsuits On CourtListner.com
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Daryn Pingleton: Exposed with the Allegations of SEC 20

UniCourt

Lawsuits On UniCourt.com
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Daryn Pingleton: Exposed with the Allegations of SEC 21

Law.com

Lawsuits On Law.com
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Daryn Pingleton: Exposed with the Allegations of SEC 22

Law360.com

Lawsuits On Law360.com
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Daryn Pingleton: Exposed with the Allegations of SEC 23

Trellis.law

Lawsuits On Trellis.law
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Daryn Pingleton: Exposed with the Allegations of SEC 24

Justia

Lawsuits On Justia.com
5

Daryn Pingleton Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Daryn Pingleton (if available)

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Daryn Pingleton using the websites down below:

Screenshot 14
Daryn Pingleton: Exposed with the Allegations of SEC 25

Sonn Law Group

Complaints On SonnLaw.com
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Daryn Pingleton: Exposed with the Allegations of SEC 26

SEC.gov

Complaints On SEC.gov
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Daryn Pingleton: Exposed with the Allegations of SEC 27

White Law Group

Complaints On WhiteSecuritiesLaw
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Daryn Pingleton: Exposed with the Allegations of SEC 28

MDF Law

Complaints On MDF-Law.com
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Daryn Pingleton: Exposed with the Allegations of SEC 29

Israels & Neuman, PLC

Complaints On IsraelsNeuman.com
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Daryn Pingleton: Exposed with the Allegations of SEC 30

Klayman Toskes

Complaints On KlaymanToskes.com

You can contact the law firms mentioned above if facing issues with Daryn Pingleton or any financial advisor.

6

Better Alternatives to Daryn Pingleton (By Experts):Find the top 3 alternatives to Daryn Pingleton

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM
Daryn Pingleton: Exposed with the Allegations of SEC 31

Manages Assets Worth

  • $714,587,898,072

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals
Visit CAPTRUST
1625686851535
Daryn Pingleton: Exposed with the Allegations of SEC 32

Manages Assets Worth

  • $173,418,270,044

Services

  • Financial planning
  • Portfolio management
  • Portfolio assessment
Visit Fisher Investments
Screenshot 2023 05 23 at 11.45.48 PM
Daryn Pingleton: Exposed with the Allegations of SEC 33

Manages Assets Worth

  • $46,803,858,104

Services

  • Portfolio management
Visit GW&K Investment Management
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