FINRA barred securities broker Mario L. Martinez [CRD: 6144561, Fort Lauderdale, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez worked for Merrill Lynch from October 23, 2015, to February 5, 2025. Read below to learn more about the disclosures involving Martinez. FINRA Sanctioned Martinez For Failure To Provide Documents […]

Investors apparently complained about securities broker Marilyn Shereen Hoosen [CRD: 4639441, Alexandria, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hoosen worked for Merrill Lynch from August 19, 2016, to June 11, 2025, before joining Stifel Independent Advisors LLC on June 10, 2025. Read on to learn more about Hoosen’s disclosures […]

FINRA suspended securities broker Muhammad Rehmatullah Wahdy [CRD: 6266210, San Francisco, California], according to disclosures on FINRA BrokerCheck. Evidently, Wahdy worked for Merrill Lynch from December 20, 2022, to June 7, 2023. Keep reading to learn more about Wahdy’s regulatory disclosures and client-related matters. FINRA Sanctioned Wahdy For Outside Business Activities Evidently, on April 11, […]

FINRA Department of Enforcement brought a Complaint against securities broker Ali F. Chehab [CRD: 7625979, Portland, Oregon], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chehab worked for Merrill Lynch from July 24, 2023, to August 9, 2024. Keep reading to find out more about Chehab’s regulatory disclosures and investor […]

Investors potentially experienced sales practice violations due to securities broker Jaime Antonio Rullan-Ferrao (also known as Jaime Rullan) [CRD: 2923020, Guaynabo, Puerto Rico], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rullan joined Merrill Lynch on August 3, 2009, as a broker, and on March 15, 2013, as an investment […]

Investors potentially experienced sales practice violations because of securities broker Michael Frederick Ginestro (also known as Mike Ginestro) [CRD: 2468911, Los Angeles, California], according to public information on FINRA BrokerCheck. Ginestro joined Merrill Lynch on October 7, 2020, in Los Angeles, California. Before that, he worked for MML Investors Services LLC from February 3, 2020 […]

Investors reportedly complained about securities broker Nikolai Taylor (also known as Nik Taylor) [CRD: 2510427, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nikolai Taylor worked for Merrill Lynch from January 29, 2015 to October 3, 2022, and joined Morgan Stanley on September 30, 2022. Keep reading to learn […]

Investors reportedly complained about securities broker Rajesh Markan [CRD: 4553309, Flower Mound, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009 to November 4, 2022, and for Hilltop Securities Inc. from October 5, 2022 to August 12, 2024. Read on to know more about […]

Investors might have sustained losses because of securities broker Sean Patrick McGerr [CRD: 2676426, Lincoln, Nebraska], based on publicly available information reported on FINRA BrokerCheck. Sean McGerr worked for UBS Financial Services Inc. from February 20, 2009, to February 23, 2021, and works for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since February […]