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Tag: Merrill Lynch

Recover JDN Capital Josh Nicholas Misappropriation Investment Losses

January 28, 2022

National investment fraud lawyers KlaymanToskes is investigating ex-Merrill Lynch broker Joshua Nicholas (“JDN Capital Josh Nicholas Investigation”) in light of his recent ban from the...

Joseph Chu, California Resources Corporation, Denbury Resources and Whiting Petroleum Investigation

July 09, 2021

KlaymanToskes, a national securities law firm, continues to investigate the sales practices of former Merrill Lynch and current RBC Capital Markets broker, Joseph Ijong Chu...

FINRA Suspends Former Merrill Lynch Broker Scott Ryland Mathews for Early Rollovers of Unit Investment Trusts

July 06, 2021

FINRA recently disclosed that former Merrill Lynch broker Scott Ryland Mathews agreed to a Letter of Acceptance, Waiver and Consent (AWC), Case # 2018060359901, relating...

FINRA Suspends Merrill Lynch Broker Kelly Feehrer for Early Rollovers of Unit Investment Trusts

July 06, 2021

FINRA recently disclosed that Merrill Lynch broker Kelly Wayne Feehrer agreed to a Letter of Acceptance, Waiver and Consent (AWC), Case # 2018060356501, relating to...

Unit Investment Trust Early Rollovers at Merrill Lynch Prompt Millions in FINRA Fines

June 26, 2021

FINRA recently disclosed that Merrill Lynch agreed to an Acceptance, Waiver and Consent (AWC), Case #2017053437701, relating to its failure to establish and maintain a...

ATTENTION CUSTOMERS WITH ACCOUNTS SERVICED BY FINANCIAL ADVISOR JOSEPH IJONG CHU – KlaymanToskes Files FINRA Arbitration Claim against Merrill Lynch and RBC Seeking $1,000,000 on Behalf of Investors

September 16, 2020

KlaymanToskes announces that it recently filed a claim for breach of fiduciary duty seeking $1,000,000 against Merrill Lynch (NYSE: BAC) and RBC Capital Markets (“RBC”)...

ATTENTION UPS EMPLOYEES WITH MERRILL LYNCH ACCOUNTS: KlaymanToskes Continues to Investigate Claims for UPS Employees with Losses from Unsuitable Covered Call Writing Strategies

August 14, 2020

KlaymanToskes continues to investigate and pursue FINRA arbitration claims against Merrill Lynch on behalf of UPS (NYSE: UPS) current and former employees for losses sustained...

ATTENTION MERRILL LYNCH CUSTOMERS WITH ACCOUNTS AT BOSTON BRANCHES: KlaymanToskes Commences Investigation for Potential Negligent Supervision of Financial Advisors and Customer Accounts

July 20, 2020

National investment fraud law firm, KlaymanToskes, has commenced an investigation in light of a recent regulatory action concerning Merrill Lynch (NYSE:BAC) and its Boston Financial...

ATTENTION UPS EMPLOYEES WITH RAMPART ACCOUNTS AT MERRILL LYNCH: KlaymanToskes Continues to Investigate Claims for UPS Employees with Losses from Unsuitable Covered Call Writing Strategies

June 26, 2020

KlaymanToskes, www.klaymantoskes.com, continues to investigate and pursue FINRA arbitration claims against Merrill Lynch on behalf of UPS (NYSE: UPS) employees for losses sustained from an...

ATTENTION MERRILL LYNCH CUSTOMERS WITH OIL & GAS INVESTMENTS RECOMMENDED BY THEIR FINANCIAL ADVISOR – KlaymanToskes Commences Investigation on Behalf of Investors Who Sustained Losses in Excess of $250,000

April 24, 2020

KlaymanToskes, https://klaymantoskes.com, announces an investigation on behalf of investors with Merrill Lynch (NYSE:BAC) accounts who sustained losses from investments in the Energy Sector, High Yield...

KlaymanToskes Investigated Unsuitable Covered Call Writing Strategies on Behalf of UPS Employees Who Sustained Losses from Merrill Lynch and other full Service Brokerage Firms

April 13, 2020

KlaymanToskes investigated and filed claims for UPS (NYSE: UPS) employees for losses sustained from unsuitable covered call writing strategies for concentrated UPS stock positions at Merrill...

NOTICE TO MERRILL LYNCH CUSTOMERS WITH MARGIN ACCOUNTS: KlaymanToskes Commences Investigation into Damages Sustained by Investors Who were Forced to Sell Securities Due to Margin Calls

April 10, 2020

KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating damages sustained by investors with Merrill Lynch (NYSE:BAC) (“Merrill”) accounts who were forced to sell securities due...

NOTICE TO MERRILL LYNCH PUERTO RICO BOND AND BOND FUND INVESTORS: KlaymanToskes Continues to Investigate FINRA Arbitration Claims against Merrill Lynch for its Margin Lending Practices Related to Concentrated Investments in Puerto Rico Bonds and Bond Funds

December 05, 2016

San Juan, Puerto Rico--December 5, 2016.  The Securities Arbitration Law Firm of KlaymanToskes, www.klaymantoskes.com, continues to investigate FINRA arbitration claims against Merrill Lynch, a subsidy...

The Securities Arbitration Law Firm of KlaymanToskes Investigates Claims of Customer Losses from Concentrated UPS Stock Positions Managed in Merrill Lynch’s Rampart Options Management Service (ROMS) Program

September 18, 2015

Boca Raton, Florida (GLOBE NEWSWIRE) September 18, 2015 -- The securities arbitration law firm of KlaymanToskes, www.klaymantoskes.com, announced today that it is investigating Financial Industry...

While the Securities Arbitration Law Firm of KlaymanToskes Investigates Claims Concerning Lyon Capital Management VII and Bryn Mawr II CLOs, Massachusetts Subpoenas Bank of America Focusing on Overvaluation of Assets

February 10, 2012

The Securities Arbitration Law Firm of KlaymanToskes announced today that it is investigating the sales of Lyon Capital Management VII (“Lyon Capital”) and Bryn Mawr...

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