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Merrill Lynch

June 18, 2019 Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
June 14, 2019 Cryptocurrency Business Places Kyung Soo Kim in Hot Water
May 07, 2019 Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions
May 04, 2019 Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards
February 20, 2019 Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
November 14, 2018 Michael Scott Livermore Sanctioned for Failing to Report Felonies
August 22, 2018 Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest
August 26, 2022 Merrill Lynch's Conrad Branson Disciplined for Series of Unauthorized Transactions, Discretion in Customer Accounts
July 27, 2022 David Hixon Sanctioned Over Improper Money Borrowing, Loans
July 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
January 20, 2021 Merrill Lynch Broker Ryan Raskin Barred After Inappropriate Investment Recommendations, Firing
July 14, 2020 Merrill Lynch, Charles Kenahan Under NH Investigation for $100+ Million Churning & Unauthorized Trading
December 21, 2019 Francisco Valenzuela Cited for Failing to Disclose Lien
November 20, 2019 FINRA Bars Julie Ann Mineard for Unauthorized Transfer of Funds into Her Own Personal Bank Accounts
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
April 18, 2018 Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security
March 15, 2018 Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
March 05, 2018 Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft
February 13, 2018 Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck
January 25, 2018 Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
January 16, 2018 Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
January 02, 2018 Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 21, 2017 Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly
July 18, 2017 After $2.4 Million Suit Alleging Elder Abuse, FINRA Bars James Schaedler Following $200k Gift Investigation
April 27, 2017 Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients
December 01, 2016 Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts
July 06, 2016 Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200
June 24, 2016 Merrill Lynch to Pay $415 Million in SEC Order for Misusing Customer Cash, in Addition to $5 Million FINRA order for Materially Misleading Investors
June 23, 2016 Merrill Lynch Fined $5 Million for Failure to Disclose Material Facts, Costs in Structured Note Sales
July 31, 2015 Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud
July 22, 2015 Merill Lynch Fires Senior VP Marc D Lowe of the $2.5 Billion Vilardo, Lowe & Associates Team for "Inappropriate Workplace Behavior"
July 01, 2015 Misappropriation Nets Broker Roderick Yzaguirre 10 Disclosures in 2 Months, Over $3.3 Million in Damages
February 19, 2015 Michael Richard Crow Fined and Suspended for Unauthorized Use of Discretion
January 16, 2015 Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
October 29, 2014 Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures
February 18, 2014 Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme
November 03, 2013 Mass. Fines Merrill Lynch $500K for Failing to Stop Broker Misconduct
June 05, 2013 FINRA Orders Wells Fargo and Merrill Lynch to Pay $5.1 Million for Unsuitable Mutual Fund Sales
May 18, 2013 Greg John Campbell Barred in $2+ Million Misappropriation Scheme
March 20, 2013 Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud