Ex-Merrill Lynch Broker Investigated Over Investor Claims

Fired Merrill Lynch Broker Barred By FINRA Indefinitely

If you were an investor who sustained losses while working with Ma Rosa Linan Abrego, contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. Our brokerage firm misconduct lawyers work with clients who have suffered financial losses due to the negligent, fraudulent or other wrongful actions of their financial representatives.

Ma Rosa Linan Abrego位于得克萨斯州麦克伦（Mcallen），由美林（Merrill Lynch）终止，最近被金融行业监管机构（FINRA）无限期地禁止担任财务顾问/股票经纪人。

解雇的基础是有关挪用客户资金的指控。美林·林奇（Merrill Lynch）认为这指控可信，因此保证财务顾问被解雇。结果，FINRA开始了调查。

Ma Rosa Linan Abrego Failed To Cooperate With FINRA Investigation

The initial portion of a FINRA investigation usually entails a request from FINRA that the financial advisor co-operates with the investigation. In a telephone call with FINRA, Ma Rosa Linan Abrego informed the investigators she would not be cooperating. Specifically, she made it clear she would not appear for an on the record proceeding to provide testimony. Failure to cooperate with FINRA is typically grounds for expulsion.

SSEK has experience in representing customers of unscrupulous financial advisors who misappropriate funds. Often these advisors may engage in other actions that are usually unsuitable, and as such, may violate industry standards and rules.

SSEK’s experience shows that before a financial advisor begins soliciting customers for inappropriate investments, he or she often does other things that are wrong for clients such as:

Misrepresentations/omissions
Churning
Unauthorized trading
Or other misconduct.

Even after the bad acts are uncovered, those other wrongs often go unnoticed and are never addressed without a customer hiring a law firm like SSEK.

Get Help From Securities Fraud Attorneys

If you were a victim of securities fraud or negligence, it is not your fault. The experienced attorneys at SSEK are experts at FINRA arbitrations and/or dealing with financial advisors who have fallen under FINRA/SEC scrutiny.

For the last 30 years, SSEK has filed thousands of FINRA claims on behalf of consumers wronged by unscrupulous brokers and brokerage firms. If you were a client of Merrill Lynch, Morgan Stanley, UBS and JP Morgan or any other firm,contact our office进行免费的无义务咨询。