Category Archives: Merrill Lynch

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ

According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures: 

  • 1 prior regulatory events
  • 7 currently pending customer disputes
  • 1 currently pending regulatory investigation

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 2/2017 Jill Cody (aka Jill Tramontano)  was permanently barred from the securities industry by FINRA to resolve allegations that she permitted Richard Cody, to whom she was then married, and who had been suspended by FINRA to engage in the securities business while suspended.

Currently pending customer disputes include:

  • 3/2017-A customer of Westminster Financial Securities & Concorde Investments  seeks damages in an unstated amount and alleges that funds were taken by Cody.
  • 3/2017-A customer of Merrill Lynch, Park Avenue Securities, Columbia Management, Westminster Financial Securities and Concorde Investment Services seeks damages in an unstated amount and alleges that Cody misappropriated funds and forged documents.

For information on Jill Cody’s former husband, Richard Cody, follow this link. Cody discloses a business affiliation with Boston Investment Partners.

We are interested in speaking with former customers of Jill Cody (aka Jill Tramontano ) and Richard G. Cody. 

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Sherry Elaine McNair-1st Global Capital Broker-Discloses Customer Dispute-Lubbock, TX

June 2017- Lubbock, Texas

According to publicly available records Sherry Elaine McNair  (CRD#2068968) ,  a  stockbroker who currently is employed by 1st Global Capital Corp.  discloses a pending customer dispute.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA arbitration 15-03688, a customer of 1st Global Capital Corp. seeks damages of $250,000 and alleges an unsuitable investment in mutual funds.

McNair has been employed by 1st Global Capital since 8/2007 and also discloses a business affiliation with West Texas Wealthcare Advisors.

If you have questions about an account handled by Sherry Elaine McNair , contact us to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

James Neal Turner-Former WFG Investments Broker-Discloses Customer Dispute-Plano, TX

June 2017- Plano, Texas

According to publicly available records James N. Turner (CRD#2068968) ,  a  stockbroker who currently is employed by First Command Financial Planning  discloses a pending customer dispute, 2 prior customer disputes and a currently outstanding judgment/lien.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA arbitration 16-03688, a customer of WFG Investments and Jefferies LLC seeks damages of $75,000 and alleges misrepresentation within offering documents, failure to conduct due diligence and failure to execute due care in the sale of unsuitable investments.

Turner discloses a tax lien in favor of the Internal Revenue Service in the amount of $58,525, filed at Collin County, TX  Federal Court.

Turner’s prior employment includes Merrill Lynch, IMS Securities and WFG Investments.

If you have questions about an account handled by James Neal Turner , contact us to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY

June 2017- New York

According to publicly available records Joao-Miguel Calil  (CRD#4351530) ,  a  stockbroker who is not currently employed  discloses  a termination from employment with Merrill Lynch.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 3/2016 Calil was discharged by Merrill Lynch who made the following allegation in connection therewith on Calil’s FINRA record: “Conduct inconsistent with Firm standards related to exercising discretion in non-discretionary accounts and soliciting collateralized foreign exchange transactions while meeting with clients in a foreign jurisdiction.”

Joao-Miguel Calil  was employed by Merrill Lynch from 5/2006-4/2017.

If you have questions about an account handled by Joao-Miguel Calil  contact us to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL

June 2017 – Jacksonville, FL

The FINRA records of Jarred M. Lawson,  a  stockbroker who is currently not registered disclose a final regulatory event and a termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In March of 2017, agreed to a one year suspension and a $10,000 fine to resolve FINRA allegations that   he made negligent misrepresentations or omissions during telephone calls with customers regarding the sale of mutual funds. Lawson  is suspended in all capacities from April 3, 2017 to April 2, 2018.

In January of 2016, Lawson was discharged from Merrill Lynch who made the following allegation in connection therewith: “conduct involving failure to make disclosures related to mutual fund transactions”.

 Lawson was employed by Merrill Lynch from 11/2012-2/2016 and with Edward Jones from 8/2012-11/2012.

If you have questions about an account  handled by Jarred M. Lawson call for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Robert E. Yahney-Merrill Lynch Broker-Discloses 3 Large Pending Customer Disputes-Tampa, FL

April 2017- Tampa, FL

The FINRA records of  Robert E. Yahney ,  a  stockbroker who is currently employed by  Merrill Lynch disclose 3 pending customer disputes and one prior final customer dispute.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA arbitration 17-0599 a customer of Merrill Lynch alleges damages of $1,000,000 for unsuitable investment recommendations and misrepresentations from March 2011-July 2014.

In FINRA arbitration 17-0500 a customer of Merrill Lynch alleges damages of $300,000 for unsuitable investment recommendations and misrepresentations from August 2012-July 2014.

In FINRA arbitration 16-01726 a customer of Merrill Lynch alleges damages of $500,000 for unsuitable investment recommendations , misrepresentations and omission of material facts from Feb 2011-November 2014.

 Robert E. Yahney has been employed by Merrill Lynch since 11/1999.

If you have questions about an account  handled by Robert E. Yahney call for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Charles R. Constant-Former WaveCrest Securities Broker-Discloses Termination From Employment-Dallas, TX

April 2017-Dallas, TX 

According to publicly available records Charles R. Constant , (CRD#2247839) ,  a  stockbroker who is not currently registered and who last was employed by Wavecrest Securities  discloses  a termination from employment.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Charles Riley Constant was employed by Wavecrest Securities from 2/2015-12/2016. In 12/2016 Parks was discharged by WaveCrest Securities who made the following allegation on his FINRA record: “The representative violated both firm policies and FINRA Rules 3270 and 3280.”

FINRA Rules 3270 and 3280 requires brokers to provide notice to their firm before engaging in outside business activities.

Charles Constant’s prior securities industry employment includes, M Holdings Securities, Merrill Lynch and Wells Fargo Advisors. He discloses business affiliations with PKS Insurance and Truth Data Insights.

If you have questions about  an account handled by Charles R. Constant call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870