fbpx

Investment Misconduct Blog

Merrill Lynch

Allegations of Excessive Trading and Unsuitable Investment Recommendation for Merrill Lynch Broker Charles Kenahan

Adam J. Marquardt July 7, 2018

According to FINRA public records, broker Charles Ernest Kenahan has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Kenahan between February 2018 and May 2018.  All claims are pending and allege excessive trading and unsuitable investment recommendations.  The most recent claim

Read More »

Customers of Kevin Yang, Ex-Morgan Stanley Broker, May Have Options to Recover Losses

Adam J. Marquardt May 27, 2018

Kevin Yang’s customers may have options to recover losses suffered while investing with the former Morgan Stanley securities broker and investment advisor.  Yang has been the subject of recent regulatory sanctions and customer arbitration claims. On March 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended and fined Yang after finding he placed unauthorized

Read More »

Pavel Shklyar’s Former Clients May Still Have Options to Recover Investment Losses

Adam J. Marquardt May 23, 2018

Marquardt Law Office LLC is interested in speaking with individuals who suffered losses while investing with Ron Jason Ison.  On February 28, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) barred the former J.P. Morgan Securities LLC broker from associating with firms registered with FINRA.  FINRA registers and regulates securities brokers and brokerage firms. In

Read More »

Former Merrill Lynch Broker, Christopher Hibbard, Fired and Supsended After Investor Accused Him of Theft

Adam J. Marquardt March 22, 2018

On February 7, 2018, FINRA suspended Christopher Lee Hibbard due his alleged failure to cooperate with FINRA’s investigation into accusations he stole from an investor client.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates security brokers and brokerage firms. Merrill Lynch had previously reported to FINRA on January 8, 2018 that it fired Hibbard

Read More »

Share Page

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up free consultation.

Recent Posts

CONTACT
Scroll to Top