August 2018-Louisville, KY Christopher Lee Hibbard was recently discharged from Merrill Lynch where he had been employed since 7/2010. In April 2018 the US Attorney’s office for the Western District…
read moreOctober 2017 – Jacksonville, FL According to publicly available records William H. Merriam IV, (CRD#5222110) , a former stockbroker who was last employed by Merrill Lynch , disclose a prior regulatory event and a termination…
read moreJune 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson, a stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…
read moreApril 2017-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is currently registered with Woodstock Financial Group disclose a regulatory event and a recent termination from employment. The Financial…
read moreApril 2017- San Antonio, Texas The FINRA records of German Ricardo Mora , a former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…
read moreJuly 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta , (CRD# 5033421) , a stockbroker who was formerly employed by K.C. Ward Financial, discloses a pending customer dispute. The Financial Industry…
read moreNovember 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…
read moreNew York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…
read moreNew York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…
read more