Tag Archives: German Ricardo Mora

Merrill Lynch Fires Stockbroker For Unauthorized Trading

April 06, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

German Ricardo Mora of San Antonio Texas is a stockbroker formerly registered with Merrill Lynch who has been fired on November 11, 2016 based upon allegations that he executed transactions in customers’ accounts on a discretionary basis and marked order tickets as having been unsolicited when they were actually solicited. On November 29, 2016, Mora […]

Read More »