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Oct 1, 2024
Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks
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Aug 26, 2022
Merrill Lynch's Conrad Branson Disciplined for Series of Unauthorized Transactions, Discretion in Customer Accounts
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Jul 27, 2022
David Hixon Sanctioned Over Improper Money Borrowing, Loans
Read More
Jul 16, 2021
Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
Read More
Jan 20, 2021
Merrill Lynch Broker Ryan Raskin Barred After Inappropriate Investment Recommendations, Firing
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Jul 14, 2020
Merrill Lynch, Charles Kenahan Under NH Investigation for $100+ Million Churning & Unauthorized Trading
Read More
Dec 21, 2019
Francisco Valenzuela Cited for Failing to Disclose Lien
Read More
Nov 20, 2019
FINRA Bars Julie Ann Mineard for Unauthorized Transfer of Funds into Her Own Personal Bank Accounts
Read More
Jun 18, 2019
Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
Read More
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