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Aug 26, 2025
Ali Chehab After Selling Away Firing by Merrill Lynch: "I Don't Care if I Get Barred"
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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
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Jul 16, 2021
Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
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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
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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
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