Merrill Lynch Archives - Page 2 of 3 - Rex Securities Law-BLOG

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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
July 5, 2021
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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 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 July 5, 2021 July 5, 2021

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…

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…

Rex Securities Law
April 20, 2018
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Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO

Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 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 April 20, 2018 July 26, 2018

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

Rex Securities Law
March 26, 2018
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Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-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 March 26, 2018 March 5, 2019

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…

Rex Securities Law
February 26, 2018
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Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY

Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY 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 February 26, 2018 August 28, 2018

August 2018-Louisville, KY Christopher Lee Hibbard was recently discharged from Merrill Lynch where he had been employed since 7/2010. In April 2018 the US Attorney’s office for the Western District…

Rex Securities Law
June 27, 2017
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Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA

Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA 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 27, 2017 June 27, 2017

June 2017 – Atlanta, GA The FINRA records of Todd D. Ryman , a stockbroker previously employed with Raymond James & Associates, Inc. disclose a prior regulatory matter and 6 customer disputes. The…

Rex Securities Law
June 19, 2017
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Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ 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 19, 2017 September 28, 2017

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) , a former stockbroker who last worked for Concorde Investment Services , has numerous disclosures: 1 prior regulatory events 8…

Rex Securities Law
March 3, 2017
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Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute

Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute 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 March 3, 2017 March 3, 2017

July 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta , (CRD# 5033421) , a stockbroker who was formerly employed by K.C. Ward Financial, discloses a pending customer dispute. The Financial Industry…