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.

 
 

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Barclays Loses Big Producers to Merril

Posted on September 10th, 2015 at 9:56 AM
 Barclays Loses Big Producers to Merril

Ahead of the announced Barclays’ merges with Stifel, two big producers, Jim Ertmann and Ben Foster have left from Barclays to join Merril Lynch.

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