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Merrill Lynch Stockbroker Sanctioned For Unauthorized Activities

August 27, 2020 | Posted by : Guiliano Law Group | Customer Loans, Selling Away and Outside Activities | Comments Off

Omar Waleed Hammad-Randolph of Boca Raton Florida a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hammad-Randolph borrowed from a customer of the securities broker dealer without […]

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Merrill Lynch Stockbroker Sanctioned For Unauthorized Activities

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