Merrill Lynch Advisor Mark Carlson Involved in Another Customer Dispute

Mark Carlson (CRD #: 1024633), a broker registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is facing an investor dispute, according to his BrokeCheck record, accessed on November 24, 2021. Carlson also offers advisory services through The Carlson Group. History of Customer Disputes and Settlements On May 18, 2021, an investor alleged that Mark […]

Merrill Lynch Fined Over MSRB Rule Violations

The Financial Industry Regulatory Authority, or FINRA, recently announced that Merrill Lynch was fined. Here is more information about the fine: The fine against Merrill Lynch covers activity from February 2015 through June 2021. FINRA alleged that Merrill Lynch violated MDRB Rule G-27 as well as FINRA Rule 2010. Merrill Lynch paid a fine of […]

Merrill Lynch Fined by FINRA for Reg SHO Violations

FINRA recently announced that Merrill Lynch would pay a fine for various trading violations, including violations of Regulations SHO. According to FINRA, Merrill Lynch failed to close out fail-to-deliver positions. Here is a copy of FINRA’s fine. Did You Lose Money Investing with Merrill Lynch? Notice: JavaScript is required for this content. Print this Article

Plano Financial Advisor Jason Jaynes Involved in $18 Million Investment Dispute

Jason Jaynes (CRD #: 5555100), a broker registered with Wells Fargo Clearing Services, is involved in investor allegations of unsuitable investment recommendations, according to his BrokerCheck record, accessed on November 10, 2021. Investor was a Client of Wells Fargo and Merrill Lynch   On January 25, 2021, investors alleged that Jason Jaynes made unsuitable investment […]

Jorge Sonville Fired After $4 Million Arbitration is Filed

Jorge Sonville (CRD #: 2558540), was fired by Merrill Lynch, Pierce, Fenner & Smith on June 10, 2021, according to his BrokerCheck record, accessed on November 2, 2021. Sonville is now licensed with Insigneo Securities in Miami, Florida. When Merrill Lynch discharged Sonville, it made the following disclosure on his license: “Conduct including participation in […]

Richard Crabtree Involved in $5 Million Dispute

Richard Crabtree (CRD #: 1855649), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, has a pending customer dispute alleging misrepresentation, according to his BrokerCheck record, accessed on November 2, 2021. Investor Seeks $5 Million from Merrill Lynch in Arbitration On September 24, 2020, a client alleged that Richard Crabtree made material misrepresentations about […]

Investor’s Dispute with Merrill Lynch Settles for $2.1 Million

Keith Simmons (CRD #: 730619), a broker registered with Merrill Lynch, Pierce, Fenner, & Smith, was recently involved in an arbitration that settled for $2.1 million, according to his BrokerCheck record, accessed on November 2, 2021. He is both a registered investment adviser and broker in Miami, Florida. Keith Simmons has a total of four […]

Arbitration Involving Merrill Lynch Rep Tom Moore Settles

Tom Moore (CRD #: 2526192), a New York City broker registered with Merrill Lynch, Pierce, Fenner, & Smith was recently involved in a six figure settlement, according to his BrokerCheck record, accessed on November 2, 2021. This is his fifth disclosure and his third disclosure related to unsuitable investment recommendations. Excessive Trading Complaint Settles for […]