Merrill Lynch Archives - Page 2 of 8 - Rex Securities Law-BLOG

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July 5, 2022
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Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX

Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, 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 5, 2022 July 5, 2022

Lyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…

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July 5, 2022
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Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX

Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, 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 5, 2022 July 5, 2022

Mark Menard Investigation July 2022- Houston, TX According to available records, Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

Rex Securities Law
June 8, 2022
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Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 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 June 8, 2022 June 8, 2022

Francisco Valenzuela Investigation June 2022- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…

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May 17, 2022
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Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, 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 May 17, 2022 May 17, 2022

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

Rex Securities Law
May 13, 2022
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Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, 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 May 13, 2022 May 13, 2022

Shaun Hayes Investigation May 2022-Fort Worth, TX According to publicly available records Shaun Eugene Hayes , a stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses…

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May 3, 2022
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Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA

Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, 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 May 3, 2022 May 3, 2022

Chadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins, a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…

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April 5, 2022
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Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL

Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL 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 5, 2022 April 5, 2022

Jorge A. Sonville Investigation April 2022- Miami, FL The FINRA records of Jorge Sonville, a broker with Insigneo Securities who formerly worked for Merrill Lynch, disclose a pending customer dispute and…

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April 1, 2022
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Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA

Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, 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 April 1, 2022 April 1, 2022

Dennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre, a former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…

ER
March 29, 2022
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Patrick J. Dwyer-Former Merrill Lynch Broker-Customers Seek Nearly $6M for Option Trading Losses-Miami, FL

Patrick J. Dwyer-Former Merrill Lynch Broker-Customers Seek Nearly $6M for Option Trading Losses-Miami, FL 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 29, 2022 March 29, 2022

Patrick James Dwyer Investigation March 2022 – Miami, FL According to publicly available records Patrick Dwyer , a stockbroker who was previously registered with Merrill Lynch, Pierce, Fenner & Smith discloses…