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merrill lynch complaint

Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX

Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX 150 150 Rex Securities Law

April 11, 2016-Plano, Texas 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…

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Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 10, 2016- Cincinnati, Ohio Kenton K. Gearhart  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Merrill…

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Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud

Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud 150 150 Rex Securities Law

San Antonio, Texas  The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…

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Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Rex Securities Law

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators 150 150 Rex Securities Law

UPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration.  Case#…

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Merrill Fined $2.5 Million by Massachusetts Securities Regulator William Galvin

Merrill Fined $2.5 Million by Massachusetts Securities Regulator William Galvin 150 150 Rex Securities Law

March 23, 2015 The Wall Street Journal reports that Merrill Lynch was ordered to pay $2.5 million to to Massachusetts Securities Regulators to resolve claims that it gave  internal presentations…

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