Tag Archives: Louise J. Neale

Merrill Lynch Stockbroker Barred In Investigation

December 17, 2016  |   Posted by :   |   Failure To Supervise   |   0 Comments

Louise J. Neale, of Atlanta, Georgia, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she failed to cooperate in a FINRA investigation into allegations that Neale mishandled her […]

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