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Merrill Lynch investigation

Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL
Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL 150 150 Rex Securities Law

Jorge Sonville Investigation September  2022-Miami, FL  According to publicly available records Jorge A. Sonville,  a currently unregistered broker who most recently worked with  Insigneo Services and before that, Merrill Lynch,  discloses a…

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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ
Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX
Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX 150 150 ER

Noe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…

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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 150 150 ER

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.,…

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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 150 150 ER

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…

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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 150 150 ER

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…

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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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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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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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