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The Investor’s Watchdog

The Investor's Watchdog
Monday, November 18, 2019 Former Merrill Lynch Registered Representative Consents to FINRA Sanctions for Allegedly Misappropriating Client Funds Author: Jason T. Albin

Former Merrill Lynch, Pierce, Fenner & Smith, Inc. general securities representative Ma Rosa Linan Abrego recently consented to a FINRA bar for refusing to appear for on-the record testimony, in violation of FINRA Rules 8210 and 2010. According to her FINRA BrokerCheck report, Abrego was associated with Merrill Lynch in McAllen, Texas from December 2016 […]