Tagged with "marcus boggs"

Former Merrill Lynch Adviser Barred by SEC

Posted on March 20th, 2020 at 2:02 PM
Former Merrill Lynch Adviser Barred by SEC

The Securities and Exchange Commission (“SEC”) has barred Marcus Boggs.  Boggs had previously been terminated from Merrill Lynch and barred by the Financial Industry Regulatory Authority (“FINRA”).      

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SEC charges Chicago Financial Adviser with $1.7 Million Fraud

Posted on August 30th, 2019 at 3:57 PM
SEC charges Chicago Financial Adviser with $1.7 Million Fraud

The Securities and Exchange Commission ("SEC") charges Marcus Boggs, a former Chicago investment adviser at the Chicago office of Merrill Lynch, with stealing over $1.7 million from at least three of his clients.

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LATEST NEWS AND ARTICLES

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