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Merrill Lynch

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

Howard Woo-UBS Financial Services Broker- Discloses $250K Customer Dispute-Irvine, CA 150 150 ER

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…

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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 150 150 ER

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.…

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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 150 150 ER

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.…

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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 150 150 ER

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 .…

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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 150 150 ER

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 ER

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…

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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 150 150 ER

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…

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