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merrill lynch problem

William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL
William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL 150 150 Rex Securities Law

October 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…

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Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL
Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL 150 150 Rex Securities Law

June 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…

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William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL
William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL 150 150 Rex Securities Law

April 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…

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German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX
German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Rex Securities Law

April 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…

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Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies
Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Rex Securities Law

November 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…

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Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute
Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

New 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…

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Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX
Jamey Graham-Hilltop Securities Broker-Named in Customer Dispute-Plano,TX 150 150 Rex Securities Law

April 11, 2016-Plano, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator
Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 10, 2016- Cincinnati, Ohio Kenton K. Gearhart  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Merrill…

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