Tag: cold calling
Merrill Lynch Regulatory History Review
The White Law Group reviews the regulatory history of Merrill Lynch. The following is a review of publicly available information...
Know your Rights: Investment Cold Calling
What is Investment Cold Calling? Investment cold calling is a marketing and sales practice where financial professionals, such as brokers,...
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...
3 Merrill Lynch Brokers Reportedly Fired for Cold Calling
Merrill Lynch Brokers Reportedly Discharged for Cold Calling According to an article in Advisor Hub on November 14, three Merrill Lynch...
Is Cold Calling Permitted in the Securities Business?
Cold Calling Investment Losses Many securities firms telephone investors they do not know to sell stocks and other investments. These...
