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Tag: Merrill Lynch

Blog, Current Investigations

William King has 28 Customer Complaints  

Merrill Broker William King Reportedly Resigns after Allegations The White Law Group is currently representing investors in claims against...

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Broker Investigations, FINRA SEC Sanctions

Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator

FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...

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Blog, Securities Fraud Articles

Merrill Lynch Sanctioned for Cold Calling Violations 

Two Securities Regulators Fine Merrill Lynch $1.4 Million for Cold Calling Violations According to Investment News on May 4, 2023, Merrill...

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Blog, Securities Fraud Articles

SEC has Record year for Enforcement Actions in 2022

The Securities and Exchange Commission Collected more than $6.4 Billion in 2022  According to Financial Advisor IQ, the Securities and...

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Blog, Securities Fraud Articles

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

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Blog, Current Investigations

The SEC Censures and Fines Merrill Lynch $42 Million

SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the Securities and Exchange Commission has charged Merrill...

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