merrill lynch problem

  • Robert Rex, Esq.

Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL
Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL 150 150 Robert Rex, Esq.

June 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson,  a  stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL
William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL 150 150 Robert Rex, Esq.

April 2017-West Palm Beach, FL The FINRA records of  William Bruckner ,  a  stockbroker who is currently registered with Woodstock Financial Group disclose a regulatory event and  a recent termination from employment. The Financial…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies
Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute
Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator
Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Robert Rex, Esq.

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…

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