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SSEK Law Firm Awarded $2.6M FINRA Arbitration Award for Non-Traded REIT Losses。

Articles Tagged with美林林奇

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Shepherd, Smith, Edwards & Kantas (“SSEK”)，，，，a law firm specializing in representing wronged investors, is looking into allegations by the SEC against former Merrill Lynch financial advisor, Marcus Boggs (“Boggs”). Boggs reportedly joined Merrill Lynch in 2006, working in the company’s Chicago office.SEC声称Boggs偷走了超过170万美元的客户资金。被盗资产用于支付个人费用，包括信用卡费用。根据SEC的说法，博格斯试图将自己描绘成芝加哥社区的支柱，与各种慈善机构互动，并参加社交活动，以使自己与城市的精英融为一体。另外，据SEC称，博格斯坚持认为，他为客户管理了4000万美元的资产。

美林（Merrill Lynch）于2018年12月对SEC指控解雇了Boggs。根据Finra的说法，Boggs对他的正式记录all involving unauthorized transfers from client accounts. Merrill wisely sought resolution of these matters and it appears none have actually gone to hearing.

SSEK拥有代表财务顾问客户的经验，这些客户要么偷钱或偷走了其他客户的钱。SSEK的经验表明，在财务顾问开始偷钱之前，他或她经常做其他对客户有错误的事情，例如不合适的投资，搅动，未经授权的交易或其他不当行为。即使在发现盗窃案之后，其他错误也常常没有引起注意，并且如果没有客户雇用像SSEK这样的律师事务所的客户。

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马库斯·博格斯（Marcus Boggs），，，，a former美林林奇investment adviser，现在面对US Securities and Exchange Commission (SEC)指控他使用170万美元的客户款项支付自己的信用卡账单。根据监管机构的说法，总部位于芝加哥的RIA的博格斯（Boggs）在200次以上的情况下非法从三个零售咨询客户的帐户中转让了资金。

该公司在发现所谓的不当行为后解雇了他，该规定将在2016年至2018年12月之间发生。博格斯是一名注册投资顾问（RIA），与美林（Merrill）一起工作了12年，这是他在证券行业工作的整个时间bob200体育。

他的工作是向客户提供投资建议，而博格斯没有授权或允许在其所谓的受害者帐户中清算资产或贸易。但是，据称他继续在上述帐户中出售证券，并直接从中拿走钱以供自己使用。bob200体育

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在过去的几个月中，已经揭示了华尔街公司一些最大公司的经纪人出售Collateral Yield Investment Strategies (CYES Strategies)这可能不适合许多投资者，导致他们遭受毁灭性的​​损失。通过注册投资顾问提供收获波动率管理，，，，LLC，CYES策略是一种收益投资策略（是的策略），甚至更加风险和复杂。

是的策略投资

Reportedly, UBS (UBS), Credit Suisse (CS), Bank of America’s (BAC) Merrill Lynch, Morgan Stanley (MS), and other brokerage firms brokers sold YES Strategies to many wealthy investors, touting the approach as safe way to increase returns on conservative portfolios. These were supposed to be small returns at a low risk, using a strategic approach that involved the purchasing and selling of SPX index options spreads.

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这波多黎各政府雇员和司法退休系统管理，，，，a pension plan for retirees of the U.S. territory’s government, has filed a proposed securities class action in federal court against Bank of America (BAC), Goldman Sachs (GS), Citigroup (C), Barclays Capital, Inc. (BARC), BNP Paribas Securities Corp., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. The retirement fund is accusing the defendants of rigging bond prices to keep the prices up on弗雷迪·麦克（Freddie Mac）和Fannie Maebonds.

美国政府赞助的实体（GSE）都提供债券以筹集贷款的债券。根据the Puerto Rico pension plan’s bond fraud case, the trading desks of the various banks worked together to artificially raise the prices of the GSE bonds when the market took a hit after the 2008 financial crisis and Fannie and Freddie started reducing the number of bonds issued for sale. This decrease led to a loss in profits for those underwriting and trading in Fannie Mae and Freddie Mac bonds. The plaintiff contends that instead of the banks opting to lower the difference between their purchasing and selling prices and competing for clients, they worked together to fix the bond prices so they could “maximize” their profits at the expense of customers.

波多黎各退休计划的投诉是在另一项拟议的集体诉讼由另外两名养老基金提出的几周后，还指控银行操纵GSE债券的价格。该欺诈案的养老基金原告是信托基金和钣金工人的当地19养老基金，而达拉斯地区快速运输员工的定义福利退休计划。被告是美国银行NA，Barclays Capital，Wells Fargo Securities，LLC，Citigroup Globabob200体育l Markets，Inc。，BNP Paribas Securities Corp.，Deutsche Bank Securities，JPMorgan Securities，JPMorgan Securities，HSBS Bank PLC，HSBC，HSBC Securities，HSBC Securities，JP Morgan Chase Bank，TD，TD，TD，TDbob200体育Securities，Nomura Securities International Inc.和Merrill Lynch，Pierce，Fenner＆Smith。

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前美林林奇经纪人将支付500万美元的罚款，并在监狱中服刑

A federal judge has sentenced Thomas Buck, an ex-Merrill Lynch broker, to 40 months in prison. Buck pleaded guilty to securities fraud in 2017. As part of his plea, he admitted to lying to Merrill about telling clients about their account options, and, at certain times, making trades for them without getting their approval.

那年，US Securities and Exchange Commission (SEC)had filed a complaint against Buck accusing him of making over $2.5M in excessive commissions and fees from more than four dozen clients. The SEC contends that Buck placed clients into accounts that charged them commissions instead of ones that were fee-based and not as costly. The regulator also accused him of making unauthorized trades. The Commission barred the former Merrill broker from the investment advisory and brokerage industries last year.

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这金融业监管机构（FINRA）已永久禁止被解雇的美林经纪人Bhenoy（Ben）Dembla。根据InvestmentNews，这位前经纪人于2016年从金融公司释放，以获得与共同基金销售有关的“伪造文件”。

Dembla在2001年至2016年担任经纪人的整个过程中都在美林工作，他被指控提交假卖订单以绕过公司的电子订单系统保护。一旦超过积累限制，保护措施应该停止提交B级股票采购订单。

根据FINRA的说法，Dembla将提交伪造的卖出订单，该订单将接受，然后他将取消订单。所有这些使某些客户可以通过购买的B级共享阈值。

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这金融行业监管机关(FINRA)正在订购美林林奇to pay $300K after finding that it did not properly supervise former broker Eva Weinberg, who went to prison for defrauding former NFL football player Dwight Freeney. Merrill, which is now a wholly-owned Bank of America (BAC) subsidiary, consented to the fine and censure imposed for not properly investigating and overseeing Weinberg even after the firm had internally flagged three of her emails and a $1.7M default judgment had been rendered against her in a civil case. (It should be noted that this case is not listed on herBrokerCheck记录but was reported byInvestmentNews。)

What Weinberg’s BrokerCheck record does state is that she began working in the industry in 1988, but then in 2004 she took several years away to work at a real estate company owned by a man named Michael Stern, who is also now in prison for defrauding Freeney. Even before Freeney, however, Stern already had a criminal record.

FINRAsaid that when Weinberg applied to Merrill for employment in 2009, she did not mention the years she had spent working for Stern. The broker-dealer went on to hire her in their Miami office where she worked with professional athletes, including Freeney. She is the one who introduced the former NFL player to Stern.

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这金融行业监管机关在fraud allegationsagainst them. Two of them were based in Texas. They are:

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今年早些时候，美国证券交易委员会禁止前RBC经纪人托bob200体育马斯·巴克（Thomas Buck）进入该行业。该行动发生在监管机构提起民事案件后不到四个月，指责雄鹿investor fraud。据称，在他是美林林奇财务顾问时，他对投资咨询客户和某些客户进行了重大陈述和遗漏，以便获得付费超额费用和佣金。

结果，超过50个客户和Buck的客户最终不必要地支付了超过250万美元。

据称，巴克还没有告诉客户，只要他们选择了基于费用的支付结构而不是佣金模型，他们就可以节省资金。同时，他多次告诉Merrill Lynch合规人员，客户知道昂贵的选择较低。

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美林林奇将支付4.15亿美元以解决指控公司滥用客户资金的民事费用，而不是保护客户证券免受债权人索赔。bob200体育根据证券交易委员会的说法，该公司通bob200体育过不当使用客户资金而不是将其存入储备帐户违反了监管机构的客户保护规则。

Instead, said the SEC,美林林奇参加了复杂的期权交易，这些交易人为地降低了储备帐户中需要多少客户资金。从’09到’12，这将释放数十亿美元。该公司将资金用于自己的交易。如果美林因这些交易而失败，则该储备帐户将有很大的缺口。

美林林奇，，，，which is owned by美国银行(BAC)，已承认有不当行为作为解决方案的一部分。

这秒said that the firm violated the Customer Protection Rule when it didn’t abide by the requirement that customer securities that had been fully paid for be kept in lien-free accounts and protected from third parties claims in the event that Merrill Lynch were to collapse. Such a failure would have exposed customers to great risk and there would have been uncertainty as to whether they’d be able to get their securities back.
此外，委员会认为，从09年到15年，美林在清算帐户中每天持有高达58B美元的客户证券，该清算帐户受其清算银行处理的一般留置权。bob200体育

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