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
Investigation: Saly Glassman, financial broker at Merrill Lynch
Investigation: Phil G. Fiore, Jr. of UBS Financial Services
