Articles Tagged with Merrill Lynch

Neil Mehta

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Florida-based Merrill Lynch broker/adviser Neil Mehta, who has received a pending customer dispute, recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mehta (CRD# 5802739).

Neil Mehta has spent eight years in the securities industry and has been registered with Merrill Lynch in Fort Lauderdale, Florida since 2016. Previous registrations include JP Morgan Securities in Pompano Beach, Florida (2012-2016) and Chase Investment Services in Pompano Beach, Florida (2010-2012). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 2, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 11, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 30, 2010. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, the District of Columbia, Florida, Georgia, Indiana, Maryland, Michigan, New Jersey, New York, North Carolina, Texas, and Virginia.

According to his BrokerCheck report, he has received one pending customer complaint and recently resigned from a former employer in connection to alleged rule violations.

Mitchell LibermanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that Texas-based Merrill Lynch broker/adviser Mitchell Liberman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Liberman (CRD# 1520933).

Mitchell Liberman has spent 32 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 1986. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 12, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 15, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is a registered broker and investment adviser with two US states: Massachusetts and Texas.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, one denied customer complaint, and one customer complaint that was closed with no action taken.

Marcus BoggsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former Illinois-based Merrill Lynch broker/adviser Marcus Boggs, who has received a pending customer dispute, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Boggs (CRD# 5055667).

Marcus Boggs has spent 12 years in the securities industry and was most recently registered with Merrill Lynch in Chicago, Illinois (2006-2018). He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 10, 2006; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on March 22, 2006; and Series 7 (General Securities Representative Examination), which he obtained on February 6, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was discharged from a former employer in connection to alleged rule violations.

Gregory Washington

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that DC-based Merrill Lynch broker/adviser Gregory Washington has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Washington (CRD# 5420613).

Gregory Washington has spent eight years in the securities industry and has been registered with Merrill Lynch in Washington, DC since 2018. Previous registrations include Spartan Capital Securities in New York, New York (2010-2016) and Maxim Group LLC in New York, New York (2009-2010). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 21, 2018; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 3, 2009; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 4, 2008. He is a registered broker and investment adviser with two US states and territories; the District of Columbia and New Jersey.

According to his BrokerCheck report, he has received one pending customer complaint and two unsatisfied judgments or liens.

Marcus ParkerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former New Mexico-based Merrill Lynch broker/adviser Marcus Parker was recently sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Parker (CRD# 1031962).

Marcus Parker has spent 35 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Santa Fe, New Mexico (2008-2017). Previous registrations include in Santa Fe, New Mexico (2001-2008); Salomon Smith Barney in New York, New York (1996-2001); Painewebber in Weehawken, New Jersey (1992-1996); Prudential Securities in New York, New York (1989-1992); Thomson McKinnon Securities in New York, New York (1985-1989); and Dean Witter Reynolds (1982-1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 30, 1982; SIE (Securities Industry Essentials Examination), which he obtained on December 12, 2017; and Series 7 (General Securities Representative Examination), which he obtained on July 17, 1982. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently sanctioned by FINRA and has received one denied customer complaint.

John Birkhauser

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 24, 2018 indicate that Illinois-based Merrill Lynch broker/adviser John Birkhauser has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Birkhauser (CRD# 864365).

John Birkhauser has spent 30 years in the securities industry and has been registered with Merrill Lynch in Lake Forest, Illinois since April 1979. He has no previous registrations. He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 28, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 12, 1981; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on May 12, 2003; Series 5 (Interest Rate Options Examination), which he obtained on November 12, 1981; Series 7 (General Securities Representative Examination), which he obtained on March 18, 1979; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on October 6, 1998. He is a registered broker and investment adviser with 39 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Luther ByrdPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Luther Byrd is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byrd (CRD# 873649).

Luther Byrd has spent 38 years in the securities industry and has been registered with Merrill Lynch in Fort Walton Beach, Florida since 2009. Previous registrations include Wells Fargo Advisors in Fort Walton Beach, Florida (2008-2009); AG Edwards & Sons in Fort Walton Beach, Florida (1993-2008); Aetna Investment Services in Windsor, Connecticut (1993); Aetna Life Insurance and Annuity Company in Hartford, Connecticut (1991-1993); Investors Asset Management (1987-1990); Southern Financial Consultants (1987); FSC Securities (1985-1987); Southern Financial Consultants (1984-1985); and Waddell & Reed (1979-1984). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1979; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 24, 1993; and Series 1 (Registered Representative Examination), which he obtained on November 5, 1979. He is a registered broker and investment adviser with 38 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one closed customer complaint.

Paul HarpPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Florida-based Merrill Lynch broker/adviser Paul Harp has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harp (CRD# 4695060).

Paul Harp has spent 15 years in the securities industry and has been registered with Merrill Lynch in Fort Walton Beach, Florida since 2009. Previous registrations include Wells Fargo Advisors in Fort Walton Beach, Florida (2008-2009) and AG Edwards & Sons in Fort Walton Beach, Florida (2003-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 17, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 7, 2003. He is a registered broker and investment adviser with 38 US states and territories. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, Cboe BZX Exchange, Cboe C2 Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, MIAX PEARL LLC, the Miami International Securities Exchange, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq GEMX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Tomas GiraldoPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former California-based Merrill Lynch broker/adviser Jose Giraldo, also known as Tomas Giraldo, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Giraldo (CRD# 5429476).

Jose Giraldo has spent four years in the securities industry and was most recently registered with Merrill Lynch in Chula Vista, California (2013-2018). He was previously registered with David Lerner Associates in Princeton, New Jersey (2012). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 11, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 2012; and Series 7 (General Securities Representative Examination), which he obtained on March 20, 2012. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer and he has received three unsatisfied tax liens.

robert steckPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that New York-based Merrill Lynch broker/adviser Robert Steck has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steck (CRD# 1094342).

Robert Steck has spent 35 years in the securities industry and has been registered with Merrill Lynch in Great Neck, New York since 1986. Previous registrations include Equitable Securities of New York (1984-1986); Southeast Securities of Florida (1983-1984); and Monvest Limited Partnership (1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 12, 1983; Series 3 (National Commodity Futures Examination), which he obtained on June 25, 1997; Series 7 (General Securities Representative Examination), which he obtained on February 19, 1983; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 19, 1997; and Series 53 (Municipal Securities Principal Examination), which he obtained on August 28, 1985. He is a registered broker and investment adviser with 25 US states and territories: Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Washington.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.