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

Rex Securities Law
November 30, 2016
No Comments

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 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 30, 2016 November 30, 2016

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…

Rex Securities Law
August 31, 2016
No Comments

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, 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 August 31, 2016 December 14, 2018

August 2016-New Braunfels, Texas The FINRA records of James E. Mahan, a former stockbroker who most recently worked for Raymond James Financial Services disclose a recent regulatory matter resulting in his permanent…