Tag Archives: Douglas William Stopkey

Merrill Lynch Stockbroker Sanctioned For Unauthorized Trading

November 04, 2020  |   Posted by :   |   Securities Arbitration Claims, Unauthorized Trading   |   Comments Off on Merrill Lynch Stockbroker Sanctioned For Unauthorized Trading

Douglas William Stopkey of Richmond Virginia a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he effected unauthorized trades in customer accounts while registered with Merrill Lynch. Letter of Acceptance Waiver and Consent No. […]

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