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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Merrill Lynch Stockbroker Barred In Investigation
April 11, 2016 | Posted by : Guiliano Law Group | Customer Loans, Investment and Regulatory News | Comments Off on Merrill Lynch Stockbroker Barred In Investigation