Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 9, 2017 indicate that New York-based broker-dealer Merrill Lynch has been sanctioned over alleged rule violations relating to Loan Management Accounts (LMAs). Fitapalli Kurta is interested in speaking to investors who have complaints regarding Merrill Lynch (CRD# 7691).
Founded in Delaware in 1958, Merrill Lynch is headquartered in New York, New York and registered with 53 US states and territories. Thomas Montag is Chief Executive Officer; Joseph Guarding is Chief Operations Officer; Lizbeth Applebaum is Chief Financial Officer.
According to the firm’s BrokerCheck report, Merrill Lynch has received 536 regulatory actions, and 1,001 customer disputes that evolved into arbitration.