Tag: Merrill Lynch
Rodney Jack Bradley barred from FINRA
FINRA recently announced that Rodney Jack Bradley, a former financial advisor with Merrill Lynch in Clearwater, Florida, has been barred...
Jamik Jamar Ligon fined and suspended by FINRA
FINRA recently announced that Jamik Jamar Ligon, formerly of Merrill Lynch, Pierce, Fenner & Smith, Incorporated in Jersey City, New...
FINRA Fines Merrill Lynch and UBS for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc....
Merrill Lynch Ok’s funeral trust deal
Merrill Lynch & Co. has agreed to pay $18 million to end a State of Illinois investigation into its role in the erosion of a trust that...