Merrill Lynch Stockbroker Sanctioned For Unsuitable UIT …

Merrill Lynch Stockbroker Sanctioned For Unsuitable UIT …

2 weeks from now

Jul 12, 2021  · Scott Ryland Mathews of Charlotte North Carolina a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been fined $5,000.00 and suspended …

securitiesarbitrations.com

Finra Raps Two Merrill Brokers, Including 30-Year Firm Vet, Over …

2 weeks from now

Jun 28, 2021  · Both the brokers, Kelly Wayne Feehrer in Tennessee and Scott R. Mathews, who joined Merrill in 2009, agreed to three-month suspensions and $5,000 in fines for allegedly …

advisorhub.com

Kelly Feehrer: Ex-Merrill Lynch Rep Suspended Over UIT Rollovers

2 weeks from now

He was ordered to pay a fine of $5,000. Kelly Feehrer: Ex-Merrill Lynch Rep Suspended over UIT Rollovers. Kelly Feehrer (CRD# 1470328), previously a stockbroker in Benton, Tennessee, …

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FINRA Sanctions Merrill Lynch $3.2 Million For Failure To Supervise

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Merrill Lynch did not identify thousands of occasions where its stockbrokers advised customers to enter into possibly unsuitable rollovers. In one case, 75 early unit investment trust rollovers …

securitiesarbitrations.com

FINRA Suspends Broker Jeffrey Paul Dragon For Excessive UIT …

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May 4, 2018  · FINRA has suspended broker Jeffrey Paul Dragon (CRD# 1874038) for 21 months and sanctioned him $50,000 in relation to a series of customer complaints. ... the firm’s …

silverlaw.com

Finra Orders Merrill To Pay $11.65 Million Over UIT ... - AdvisorHub

2 weeks from now

Jun 25, 2021  · Finra said that Merrill executed more than $32 billion in UIT transactions over the five years, including $2.5 billion worth of UITs sold more than 100 days before their typical 15 …

advisorhub.com

FINRA Fines Merrill Lynch For Millions Over UIT Sales Supervision ...

2 weeks from now

Jun 25, 2021  · The eyebrow-raising transactions resulted in significant sums for the firm; during the period in question, Merrill Lynch executed about $32 billion in UIT trades across more than …

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Merrill Lynch To Pay $11.7 Million Over Unit Investment Trust (UIT ...

2 weeks from now

Jul 16, 2021  · According to AWC #2017053437701, Merrill Lynch, due in part to a lack of written supervisory procedures, failed to detect when its brokers and representatives recommended …

stocklaw.com

Finra Sanctions Merrill Lynch Over UIT Rollover And ... - Barron's

2 weeks from now

Merrill Lynch agreed to pay more than $11 million to settle allegations that it had supervisory failures involving unit investment trusts, a niche investment product that has come under …

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