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…
read moreApril 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…
read moreMarch 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…
read moreAugust 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…
read moreJune 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…
read moreSeptember 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…
read moreJuly 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…
read moreNovember 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…
read moreAugust 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…
read more- 1
- 2