According to the Financial Industry Regulatory Authority (FINRA) Brokercheck, former Merrill Lynch Financial Advisor, Linan Abrego was barred by FINRA for her failure to cooperate with securities regulators in not appearing for on-the-record testimony that was part of FINRA’s investigating allegations that she misappropriated client funds.
Linan Abrego was discharged by Merrill Lynch in June 2018 over allegations that she misappropriated client funds. At that time, she had been with Merrill Lynch for two years in the McAllen, Texas branch office. Based on FINRA Brokercheck records, Ms. Abrego passed her Series 7 general securities licensing exam in December 2016 and began her employment with Merrill Lynch at that time. In June 2019 an employment separation after allegations disclosure reflects that Ms. Abrego was discharged from Merrill Lynch based on allegations of misappropriation of client funds.
The FINRA Brokercheck update earlier this month, on November 5, 2019, reflects a Regulatory disclosure that reveals a FINRA bar that was entered as a result of an Acceptance, Waiver & Consent (AWC) without admitting or denying the finding where Ms. Abrego consented to the findings that she refused to appear for on-the-record testimony as requested by FINRA regulators in connection with FINRA’s investigation into whether or not she engaged in misappropriation.
The securities arbitration and investment litigation attorneys at InvestmentFraudLawyers.com represent investors who have suffered investment losses nationwide. The majority of these claims may be brought as a private, confidential securities arbitration before the Financial Industry Regulatory Authority (FINRA) Office of Dispute Resolution. Please contact our office for a free consultation. Our experienced attorneys are available to assist you and answer your questions free of charge. Our law firm handles these cases on a contingency fee basis and only receive compensation if we are successful in obtaining a recovery of your losses. Our experience as former bank and brokerage firm defense lawyers, will help you maximize your potential claim. We were previously on their side, and now we are on YOUR side!
The sole purpose of this material is to investigate the manner in which Linan Abrego handled accounts and investment assets for investor clients, including the sales practice and supervision related to same. If you have any knowledge or experience with these matters, please contact Haselkorn & Thibaut, P.A. at 1-888-628-5590, or visit the law firm’s website at InvestmentFraudLawyers.com.
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