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Merrill Lynch

Merrill Lynch Hit with $15.2 Fine For Mutual Fund Share Sales

Restitution of $15.2 million, which includes an interest component of $1.8 million, is what Merrill Lynch has been asked to be paid by the Financial Industry Regulatory Authority (FINRA), apart from being censured. The restitution pertains to customers purchasing mutual funds being charged excessive fees. Merrill avoided the levy of a fine by the self-regulator, …

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Evelyn Batista (Merrill Lynch)

Evelyn Batista (Merrill Lynch) Broker Suspended By FINRA

A registered representative of Merrill Lynch, Evelyn Batista was suspended by the Financial Industry Regulatory Authority (FINRA) for making “reckless misrepresentations” to the Small Business Administration (SBA) to obtain an economic injury disaster loan. In 2020, the federal government initiated several programs to assist small businesses in coping with the ramifications of the COVID-19 pandemic. …

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Merrill Lynch Advisor Marcus Boggs Sentenced to 3.5 Years, Barred by FINRA, for $3M Fraud

Merrill Lynch Advisor Marcus Boggs Sentenced to 3.5 Years, Barred by FINRA, for $3M Fraud

Merrill Lynch has reimbursed $3,085,256, the full amount lost, to their clients who lost money as a result of a fraud perpetrated on them by one of their brokers, Marcus Boggs. Boggs was arrested in August 2019, trying to board an international flight from O’Hare International Airport in Chicago, after which charges were pressed against …

Merrill Lynch Advisor Marcus Boggs Sentenced to 3.5 Years, Barred by FINRA, for $3M Fraud Read More »

How Can Oil Investors Recover Losses

How Can Oil Investors Recover Losses?

For many investors with significant losses in energy-sector securities, there could be a path to recovering your investment losses in Magellan Midstream Partners LP (MMP), Enterprise Products Partners LP (EPD), MPLX LP (MPLX), Tallgrass Energy LP (TGE), Energy Transfer LP (ET), Plains All American Pipeline LP (PAA), Phillips 66 Partners LP (TCP), TC PipeLines LP …

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