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.…
read moreJorge 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…
read moreHarold 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…
read moreNoe 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…
read moreMark 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.,…
read moreJason 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…
read moreShaun 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…
read moreDennis 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…
read morePatrick 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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