Tag Archives: Billy Wayne Allen

Merrill Lynch Stockbroker Barred In Investigation

April 11, 2016  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Billy Wayne Allen, of Bentonville, Arkansas, a stockbroker with Merrill Lynch, Pierce, Fenner & Smith, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he failed to cooperate in a FINRA investigation into his unauthorized solicitation and receipt of loans from customers. […]

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