Rees Mason: $1.2mm Complaint Against Merrill Advisor

Ponte Vedra Beach, Florida financial advisor Rees Mason (CRD# 6032370) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.

Ms. Mason’s BrokerCheck report discloses one investor complaint. Filed in April 2026, it alleges that as a representative of Merrill Lynch, she misrepresented a tax strategy and improperly and without authorization facilitated a margin loan. The pending complaint alleges damages of $1.2 million.

Investors should be aware that FINRA rules forbid brokers from making misrepresentations of material information relating to the investments and strategies they recommend to their clients. FINRA Rule 2020 states specifically that no broker shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who misrepresent investments may be held liable in the event of losses.

Investors should be aware that FINRA rules prohibit representatives like Ms. Mason from conducting securities transactions without authorization. FINRA Rule 3260, for example, describes certain conditions under which brokers can make discretionary trades, and forbids the use of discretion without the customer’s prior written authorization and the firm’s written acceptance of the account as discretionary. FINRA Rule 2010, meanwhile, requires brokers to “observe high standards of commercial honor and just and equitable principles of trade,” which generally means that they may not perform unauthorized transactions. Brokers who violate these rules may be held liable for damages.

According to the Financial Industry Regulatory Authority, Rees Mason holds 14 years of securities industry experience. Based in Ponte Vedra Beach, Florida, she has been registered as a broker and an investment advisor with Merrill Lynch since 2012. Her credentials include the passage of seven securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Uniform Combined State Law Examination, or Series 66; the General Securities Representative Examination, or Series 7; and the Futures Managed Funds Examination, or Series 31. She holds 45 state licenses. (Information current as of June 14, 2026.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.