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Merrill Lynch

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Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY
Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

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Jason Jaynes-Former Merrill Lynch Advisor-Subject of $18M Customer Suit-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Subject of $18M Customer Suit-Plano, Texas 150 150 Rex Securities Law

Jason R. Jaynes Investigation November 2021-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses a pending customer dispute which is…

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Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX
Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX 150 150 ER

Richard Demetriou Investigation November 2021-Addison, Texas According to publicly available records Richard Wayne Demetriou,  a  former stockbroker who last worked for Titan Securities discloses a regulatory event, three customer disputes and a…

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Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico
Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico 150 150 Rex Securities Law

Marcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker  ,  a  former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…

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Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL
Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL 150 150 Rex Securities Law

Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Ronald F. Metcalf, Jr.  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a…

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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX
Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX
Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Rex Securities Law

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX
Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX 150 150 Rex Securities Law

Aug 2021-Houston, TX The FINRA records of  Lyle J. Boudreaux,  a  stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…

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Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Rex Securities Law

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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