Tag Archives: Bruce William McNabb

Merrill Lynch Stockbroker Suspended For Selling Away

May 05, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Merrill Lynch Stockbroker Suspended For Selling Away

Bruce William McNabb, of San Antonio, Texas, a stockbroker with Merrill Lynch, Pierce, Fenner & Smith, Inc., was fined $50,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in an unauthorized private securities transaction. Letter of Acceptance, […]

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