Merrill Lynch Archives - Rex Securities Law-BLOG

ER
June 27, 2023
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Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 June 27, 2023

Howard Woo Investigation June 2023 – Irvine, CA According to publicly available records Howard Woo , a broker with UBS Financial Services, Inc. discloses a pending customer dispute The Financial Industry…

ER
April 3, 2023
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George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Pending Customer Dispute and Termination-Washington, DC

George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Pending Customer Dispute and Termination-Washington, DC https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 April 3, 2023

George Fellows Investigation April 2023- Washington, DC The FINRA records of George W. Fellows, Jr., a former Merrill Lynch broker, disclose a regulatory event, a pending customer dispute and a termination.…

ER
March 31, 2023
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Leo Li-Yuan Chien- Cetera Broker- Discloses Pending Customer Disputes- San Gabriel, CA

Leo Li-Yuan Chien- Cetera Broker- Discloses Pending Customer Disputes- San Gabriel, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2023 March 31, 2023

Leo Chien Investigation March, 2023 – San Gabriel, CA The FINRA records of Leo Li-Yuan Chien a broker currently employed by Cetera Investment Services , disclose 2 pending and 2 priorcustomer disputes.…

ER
March 22, 2023
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John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX

John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 22, 2023 March 22, 2023

John Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo , a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…

ER
February 28, 2023
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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch, discloses a final regulatory matter resulting in a permanent…

Rex Securities Law
September 23, 2022
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Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL

Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 23, 2022 September 23, 2022

Jorge Sonville Investigation September 2022-Miami, FL According to publicly available records Jorge A. Sonville, a currently unregistered broker who most recently worked with Insigneo Services and before that, Merrill Lynch, discloses a…

Rex Securities Law
August 19, 2022
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Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX

Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 19, 2022 August 19, 2022

Scarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities, discloses a final regulatory matter resulting in…

ER
August 15, 2022
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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ

Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 15, 2022 August 15, 2022

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

ER
July 12, 2022
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Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX

Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 12, 2022 July 12, 2022

Noe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…