• The Buck stops here; Ex-Merrill advisor barred by SEC
  • SEC Fines Morgan Stanley $13M for Overcharging Clients
  • Finra bars ex-Merrill broker alleged to have borrowed money from clients
  • Ex-$1.3B Merrill broker to plead guilty to fraud, settles SEC charges for $5M
  • Investigation: Lorenzo C. Esteva, former UBS and Merrill Lynch broker barred by FINRA
  • Investigation: Maher Saieh, ex-Merrill Lynch broker suspended, fined by FINRA