Shaun Eugene Hayes of Fort Worth Texas is a stockbroker formerly registered with Merrill Lynch who is the subject of a customer initiated investment related complaint which settled on December 19 2017 for one hundred twenty-five thousand dollars in damages based upon allegations that stock trades had been effected in the customer’s account without the customer’s consent between January 2017 and March 2017.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Hayes has been identified in six additional customer initiated investment related disputes pertaining to accusations of Hayes’ improper conduct in customer accounts while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Particularly, on August 3, 2017, a customer filed an investment related written complaint involving Hayes’ conduct, alleging that common and preferred stock trades were executed in the customer’s investment portfolio between September of 2016 and June of 2017. Then, on December 15, 2017, five additional customer complaints pertaining to Hayes’ activities were filed, where customers alleged that between 2013 and December of 2017, unauthorized equity transactions were effected in their accounts.
Hayes’ registration with Merrill Lynch was terminated as of August 2, 2017.
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