Merrill Lynch - Financial Advisor Complaints

My Insights on William LeBoeuf’s FINRA Suspension for Private Securities Transactions

Hi there! My role is to unravel the complex world of finance, making it as easy as pie. Now, let’s dive into the story of financial advisor William LeBoeuf who got into hot water with the Financial Industry Regulatory Authority (FINRA) for dipping his toes into private securities transactions without permission. Examining LeBoeuf’s Private Securities […]

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Merrill Lynch Advisor Ryan Raskin Barred by FINRA

Merrill Lynch Financial Advisor Ryan Raskin Barred by FINRA

Financial Advisor Complaints / By Emily

In the intricate world of finance, where trust and integrity are paramount, the temptation to earn additional income through unauthorized and improper trading practices has ensnared yet another individual. This time, the spotlight falls on Ryan Raskin, a former advisor at the esteemed Merrill Lynch, who has been prohibited from practice by the Financial Industry

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Merrill Lynch Fined $15.2 Million By FINRA

Financial Advisor Complaints / By Emily

I want to talk about a recent fine by the Financial Industry Regulatory Authority (FINRA). Merrill Lynch was fined a hefty sum of $15.2 million, which includes $13.4 million plus interest. The reason? They were found charging customers excessively high fees for mutual fund transactions. Despite this, Merrill Lynch was not subjected to further penalties

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