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Merrill Lynch

George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Pending Customer Dispute and Termination-Washington, DC

George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Pending Customer Dispute and Termination-Washington, DC 150 150 ER

George Fellows Investigation April 2023- Washington, DC The FINRA records of  George W. Fellows, Jr.,   a former Merrill Lynch broker,  disclose a regulatory event,  a pending customer dispute and a termination.…

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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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Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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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 150 150 Rex Securities Law

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…

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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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