Merrill Lynch Clients Take Aim At Broker Jacquin Fink Over Allegedly Unsuitable Trading Investor Alert! FINRA BrokerCheck shows that investors continue to dispute the sales practices of Merrill Lynch broker Jacquin Fink (CRD#: 207807, New York, New York). Apparently, no less than 10 Merrill Lynch clients disputed Fink’s sales practices, and all of those claims […]

Did Debra Lambert Excessively Trade Your Account? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against Raymond James and Merrill Lynch securities broker Debra Lambert (CRD#: 2238553, The Villages, Florida). Notably, at least 1 Raymond James client and 2 Merrill Lynch clients filed disputes contesting Lambert’s sales practices. Here’s a summary of the allegations […]

JESSE HOLOVACKO Fraud Conviction Affirmed The United States Court of Appeals for the Third Circuit affirmed Merrill Lynch financial advisor Jesse Holovacko’s (CRD#: 5112298, Edison, New Jersey) convictions of 6 counts of wire fraud and 1 count of investment advisor fraud, according to an unpublished Opinion filed July 22, 2019 in U.S.A. v. Jesse Holovacko, […]

CHARLES KENAHAN Churn Your Investments? Soreide Law Group is evaluating possible investor claims on behalf of investors who suffered losses because of Merrill Lynch securities broker Charles Kenahan (CRD#: 1351974, Boston, Massachusetts). Evidently, Merrill Lynch announced on July 9, 2019 that it disaffiliated with Kenahan. The brokerage firm alleged that Kenahan gave bad advice to […]

JOHN MORABITO Give You Unsuitable Advice? If you invested through Merrill Lynch securities broker John Morabito (CRD#: 4651112, Alpharetta, Georgia), he possibly gave you bad advice. Particularly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least one client complained about his sales practices. Here’s more on the dispute concerning Morabito: Merrill Lynch Client Suggests […]

CHAMP WARREN Give You Bad Investment Advice? Soreide Law Group is evaluating possible investor claims of suitability against Champ Warren (CRD#: 2401114, Houston, Texas). Warren is a securities representative who joined Merrill Lynch on November 30, 1993. Namely, the Financial Industry Regulatory Authority (“FINRA”) shows on Warren’s BrokerCheck Report that a client complained about his […]

INVESTOR ALERT: FINRA Suspends, Fines MICHAEL TANHA Soreide Law Group is investigating possible claims on behalf of those who invested with Merrill Lynch securities broker Michael Tanha (CRD#: 6022108, Beverly Hills, California). The Financial industry Regulatory Authority (“FINRA”) recently issued Michael Tanha a 10-month suspension and $15,000 fine pursuant to Tanha’s May 1, 2019 submission […]

FINRA Hits Merrill Lynch With $300,000.00 Fine For Failure To Supervise The Financial Industry Regulatory Authority (“FINRA”) has issued a fine and $300,000.00 fine and censure to Merrill Lynch, Pierce, Fenner & Smith Inc. (CRD#: 7691, New York, New York) pursuant to Letter of Acceptance, Waiver and Consent #: 2014041490801, executed on December 13, 2018. […]

Customers Allege Merrill Lynch Brokers Sold Unsuitable Investments Soreide Law Group is investigating excessive trading, misrepresentation and suitability claims on behalf of customers who invested with Merrill Lynch , Pierce, Fenner & Smith incorporated (CRD#: 7691, New York, New York) securities brokers and financial advisors including Matthew Martin Howley, Matthew Allen Ashley, Jon Monk and Robert […]