merrill lynch problem Archives - Rex Securities Law-BLOG

ER
August 15, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 15, 2022 August 15, 2022

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…

ER
July 12, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 12, 2022 July 12, 2022

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…

ER
July 5, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

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.,…

Rex Securities Law
May 13, 2022
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Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2022 May 13, 2022

Shaun Hayes Investigation May 2022-Fort Worth, TX According to publicly available records Shaun Eugene Hayes , a stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses…

Rex Securities Law
November 12, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 12, 2021 November 12, 2021

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…

Rex Securities Law
October 1, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 1, 2021 October 1, 2021

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…

ER
September 23, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 23, 2021 September 23, 2021

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…

Rex Securities Law
June 30, 2020
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 30, 2020 June 30, 2020

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.…

Rex Securities Law
October 9, 2018
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Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX

Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 9, 2018 October 9, 2018

October 2018- Houston, TX According to FINRA records, Craig D. Wakefield, a stockbroker who is currently registered with Merrill Lynch, Pierce, Fenner & Smith (Merrill Lynch) discloses a currently pending…