George Fellows Investigation January 2024- Washington, DC The FINRA records of George W. Fellows, Jr., a former Merrill Lynch broker, disclose a regulatory event, a settled customer dispute and a termination.…
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 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…
read morePeter 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…
read moreAugust 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…
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