Florida’s WILLIAM H MERRIAM IV, Former Broker with Merrill Lynch of Jacksonville, Barred by FINRA

Soreide Law Group, based in Florida, obtained the following information from FINRA’s website, which is available to the public, dated 8-18-17: 

WILLIAM H MERRIAM IV (aka: WILL MERRIAM IV, WILLIAM H MERRIAM)

CRD#: 5222110

The former Merrill Lynch broker, has been barred by FINRA for allegedly failing to appear for FINRA on-the-record testimony looking into his conduct.

The Financial Industry Regulatory Authority Inc. (FINRA) reported that WILLIAM H MERRIAM IV  voluntarily resigned following an investigation into allegations involving forgery of client signatures on account documents, from the Jacksonville, Florida, office of Merrill Lynch in January, 2017. WILLIAM H MERRIAM IV had been with the Merrill Lynch for two and a half years.

FINRA has barred WILLIAM H MERRIAM IV from acting as a broker or otherwise associating with firms that sell securities to the public.

According to FINRA’s BrokerCheck, WILLIAM H MERRIAM IV, has 2 Disclosures on his broker report.  Merriam had 2 years of experience in the securities industry and was listed with the following firm:

06/02/2014 – 01/13/2017 MERRILL LYNCH PIERCE FENNER & SMITH INC – JACKSONVILLE, FL 

If you or a loved one suffered losses due to the actions or recommendations of former Merrill Lynch of Jacksonville, Florida, broker, WILLIAM H MERRIAM IV, call Soreide Law Group, which is conveniently based in Florida, and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at:  888-760-6552.

Soreide Law Group represents our clients nationwide before FINRA and we operate on a contingency fee basis.  Let our many years of experience work for you.

 

2017-08-24T18:13:57+00:00 August 24th, 2017|

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