Tr?id=566623520170033&ev=PageView&noscript=1

Tagged with "Merril Lynch"

FINRA Suspends Former Merrill Advisor Who Managed $2 Billion Florida Team

Posted on June 21st, 2022 at 1:08 PM
FINRA Suspends Former Merrill Advisor Who Managed $2 Billion Florida Team

The Financial Industry Regulatory Authority (FINRA) has issued a six-week suspension and a $5,000 fine to a former Merrill Lynch advisor who previously had helped to establish a $2 billion team.

 
 

Read More »

TESTIMONIALS

Previous
Next
Quotes Bigger

I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

Cindy C.

LATEST NEWS AND ARTICLES

1787244289 Law
August 20, 2026
FinCEN Imposes Record $125 Million Penalty on UBS Financial Services

The Financial Crimes Enforcement Network (FinCEN) has imposed a $125 million civil money penalty against UBS Financial Services Inc.

1787157891 Law
August 19, 2026
Former UBS Financial Advisor Suspended and Fined Over Unauthorized Trading Allegations

The Financial Industry Regulatory Authority (FINRA) suspended a former UBS Wealth Management USA broker for three months and fined him $10,000 after finding that he executed hundreds of trades in two customers' accounts without the required written authorization.

1787156982 Law
August 19, 2026
FINRA Suspends Former Gradient Securities Advisor

The Financial Industry Regulatory Authority (FINRA) has suspended former Gradient Securities representative Mark J.