January 2020- Guaynabo, Puerto Rico/Miami, FL According to publicly available records Jose Alberto Casellas (CRD# 2638747) , a stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith disclose a pending customer dispute…
read moreAugust 2018- Parsippany, New Jersey The FINRA records of Mamode A. Oozeerally (“Sony”) , a stockbroker who is employed by Hennion & Walsh disclose two prior customer disputes and a pending customer dispute. The Financial…
read moreFebruary 2019- Parsippany, New Jersey The FINRA records of Stephen G. Kowalski , a stockbroker who is employed by Hennion & Walsh disclose a prior final customer dispute and 4 currently pending customer disputes. The…
read moreUPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…
read moreOver the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…
read moreApril 2017- Parsippany, New Jersey The FINRA records of Mamode A. Oozeerally (“Sony”) , a stockbroker who is employed by Hennion & Walsh disclose a prior final customer dispute and a currently pending customer dispute. The…
read moreApril 2017- Parsippany, New Jersey The FINRA records of Sean J. McElduff , a stockbroker who is employed by Hennion & Walsh disclose a prior final customer dispute and a currently pending customer dispute. The…
read moreNovember 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…
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