Tag Archives: Scott Ryland Mathews

Merrill Lynch Stockbroker Sanctioned For Unsuitable UIT Recommendations

July 12, 2021  |   Posted by :   |   Investment and Regulatory News, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations   |   Comments Off on Merrill Lynch Stockbroker Sanctioned For Unsuitable UIT Recommendations

Scott Ryland Mathews of Charlotte North Carolina a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Mathews providing unsuitable recommendations to customers regarding unit investment trust transactions […]

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