Tag Archives: James Benjamin Farris

Merrill Lynch Broker Barred By FINRA In Investigation

June 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

James Benjamin Farris of San Francisco California a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities supported by accusations that he neglected to respond to FINRA’s request for his information. Case No. 2017053325801 (May 7, 2018). FINRA […]

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