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Articles Tagged with Merrill Lynch

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2019 indicate that Maryland-based Merrill Lynch broker/adviser Dawn Cote is involved in a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Cote (CRD# 2318074). Dawn Cote has spent 25 years in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Minnesota-based Merrill Lynch broker/adviser Daniel Moran has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Moran (CRD# 1864762). Daniel Moran has spent 30 years in the securities industry […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that New York-based Merrill Lynch broker/adviser Gary Stern has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stern (CRD# 1351563). Gary Stern has spent 33 years in […]

Recent news articles and publicly available records provided by the Financial Industry Regulatory Authority (FINRA) report that FINRA has fined Merrill Lynch $300,000 in connection to that firm’s failure to supervise a broker who allegedly defrauded a firm customer in association with what AdvisorHub describes as a “well-known con man,” with whom the broker allegedly […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 23, 2018 indicate that New Mexico-based Merrill Lynch broker/adviser James Babineaux has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Babineaux (CRD# 1323951). James Babieaux has spent 19 years in the […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California and New York-based Merrill Lynch broker/adviser Marianne Younkheere has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Younkheere (CRD# 872025). Marianne Younkheere has spent 39 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that Oklahoma-based Merrill Lynch broker/adviser Julia Klammer, also known as Julia Waser, is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Klammer (CRD# 1264701). Julia Klammer […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that Florida-based Merrill Lynch broker/adviser Ralph Byer has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byer (CRD# 1038411). Ralph Byer has spent 36 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2018 indicate that California-based Merrill Lynch broker/adviser Jarett Liddicoat is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Liddicoat (CRD# 4853499). Jarett Liddicoat has spent 13 years in […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Warren Scroggie has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scroggie (CRD# 2786551). Warren Scroggie has spent 19 years in the […]

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