Investigating Complaints Against William Ashton Evans, IV.

two men arguing over investment losses

Did you suffer investment losses after working with William Evans, a broker and financial advisor registered with the Financial Industry Regulatory Authority (FINRA) through the San Francisco, California branch of Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) If so, the attorneys of Investment Loss Recovery Group want to help you. We are now investigating potential complaints against William Evans and Merrill Lynch.

Our law firm works with clients nationwide who have lost money due to the negligence and/or misconduct of brokers and financial advisors whom they had trusted to provide sound investment advice and to ethically and responsibly handle their accounts. We bring more than 40 years of combined legal experience to our clients as well as in-depth knowledge of the financial services industry. Both of our attorneys have backgrounds as licensed securities brokers and as defense counsel for large Wall Street brokerage firms.

Contact us today if you incurred investment losses after working with Mr. Evans or Merrill Lynch. We will review your potential claims in a free and confidential consultation.

Who Is William Ashton Evans, IV?


You can find information about William Evans (CRD# 4915297) through a database available online and accessible by the public, the FINRA Central Registration Depository (CRD) and FINRA BrokerCheck Report.

Mr. Evans has worked in the financial services industry since 2005. Over the course of his career, he has been registered with FINRA through numerous firms in San Francisco, California:

  • Stone & Youngberg LLC (2005-2011)
  • Stifel, Nicolaus & Company, Incorporated (2011-2015)
  • Fidelity Brokerage Services, LLC (2015-2017)
  • Merrill Lynch (2017 November 2018)

What is the Customer Disputes Reported on William Evans’s FINRA Brokercheck?

FINRA Brokercheck records reflects a customer dispute disclosure dated in November 2018 alleging unsuitable investment recommendations, fraud, misleading statements and omissions, breach of fiduciary duty, negligent misrepresentation, breach of contract, elder abuse and claiming $1,300,000.00 in damages. The customer dispute remains pending.

How Can You Recover Investment Losses Involving Merrill Lynch?

If you suffered investment losses involving Mr. Evans, Stifel Nicolaus, Fidelity, or Merrill Lynch due to unsuitable investment recommendations, breach of fiduciary duty, misrepresentation, or if you suspect your accounts or investments were handled negligently or improperly for any reason, you may wish to seek legal advice and a no-cost review of your accounts or investments as soon as possible. You may be entitled to a recovery of your losses in addition to other damages. You may also have the right to file a private, confidential FINRA complaint against any broker, or brokerage firm that failed to properly handle your investment account, or may have failed to adequately supervise your investment accounts, or Mr. Evans’s conduct as a broker and financial advisor.

The skilled securities arbitration and investment fraud lawyers of Investment Loss Recovery Group have an insider’s view of the legal and regulatory issues that can affect a case, and we understand how brokerage firms evaluate these matters. We can review your case and present you with a strategic plan to help you recover your investment losses as expeditiously as possible.

We serve clients throughout the country. Contact us today for a free consultation and find out more about how we can assist you.

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