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merrill lynch complaint

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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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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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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Daniel Dillard-Former Sagepoint Broker-Discloses $1.5M Suit Over Private Placement-Austin, TX

Daniel Dillard-Former Sagepoint Broker-Discloses $1.5M Suit Over Private Placement-Austin, TX 150 150 Rex Securities Law

July 2021- Austin, TX According to publicly available records, former Sagepoint Financial financial advisor Daniel Dillard,  discloses a regulatory event, 2 pending customer disputes, a termination from employment and an outstanding…

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Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Rex Securities Law

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…

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Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York

Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York 150 150 Rex Securities Law

June 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.…

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Lorenzo Esteva-Former Merrill Lynch Broker-Discloses Numerous Customer Disputes-Miami, FL

Lorenzo Esteva-Former Merrill Lynch Broker-Discloses Numerous Customer Disputes-Miami, FL 150 150 Rex Securities Law

September 2018- Miami, FL According to publicly available records Lorenzo Esteva  (CRD#2170595) , a  former stockbroker previously registered with Merrill Lynch , disclose a regulatory event,  six prior and one currently pending customer disputes, and a termination…

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Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO

Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 150 150 Rex Securities Law

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

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