August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith financial advisor Charles Kenahan, discloses 2 regulatory events, 4 final customer disputes, one pending…
read moreApril 2021- New York, NY According to publicly available records, UBS Financial Services financial advisor John Loughran, discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…
read moreNovember 2020- New York, NY According to publicly available records, former Private Client Services financial advisor Jeffrey Slothower, was suspended from the securities industry by FINRA. The Financial Industry Regulatory Authority…
read moreNovember 2020- New York, NY According to publicly available records, UBS Financial Services, Inc. financial advisor Charles S. Teixeira, discloses 2 settled customer disputes and two pending customer disputes.…
read moreJune 2020-New York According to publicly available records. Jacquin P. Fink (CRD#207807), a stockbroker who last worked for Merrill Lynch, discloses 10 prior customer disputes and 1 pending customer dispute.…
read moreJune 2020- San Antonio, TX The FINRA records of Daniel Rebmann, a broker currently employed by UBS Financial Services, disclose two customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreApril 2020-Houston, TX According to publicly available records. Sofia T. Gonzalez (CRD#6243469), a former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …
read moreApril 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…
read moreJanuary 2020- Guaynabo, Puerto Rico/Miami, FL According to publicly available records Jose Alberto Casellas (CRD# 2638747) , a stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith disclose a pending customer dispute…
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