merrill lynch complaint Archives

Robert Rex, Esq.
April 25, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 25, 2017 April 25, 2017

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…

Robert Rex, Esq.
March 3, 2017

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://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. 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…

Robert Rex, Esq.
November 30, 2016

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. 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…

Robert Rex, Esq.
June 22, 2016

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2016 June 22, 2016

New York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Robert Rex, Esq.
June 6, 2016

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
March 14, 2016

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

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 14, 2016 March 14, 2016

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…

Robert Rex, Esq.
November 16, 2015

Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud

Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2015 November 16, 2015

San Antonio, Texas The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…

Robert Rex, Esq.
November 11, 2015

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 November 11, 2015

July 9 , 2015- Plano, Texas Dylan Patrick Grayson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

Robert Rex, Esq.
June 19, 2015

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 19, 2015 June 19, 2015

UPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration. Case#…