Merrill Lynch

Jul 7th, 2017

SPECIAL REPORT: Clay Hoffman of Summit Financial in Brunswick BARRED from securities industry for failure to cooperate with investigation into his alleged unauthorized trading, excessive trading, and fraud

After a long, checkered career, Clay Hoffman has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). According to FINRA, Mr. Hoffman […]
Jan 16th, 2017

IFS Securities Financial Advisor Richard Cody Secretly Empties Investors’ Retirement Accounts, SEC Alleges

Imagine that you have woken up every day for eight years enjoying your secure retirement. Then, one day, you learn that the retirement portfolio you thought […]
Nov 18th, 2016

Merrill Lynch Financial Advisor Matthew J. Gorelik Lied About Having a College Degree?

  According to settlement papers signed with the Financial Industry Regulatory Authority (FINRA), Mr. Gorelik, a financial advisor with a long career, has been misrepresenting his […]
Jun 9th, 2015

This Merrill Lynch Financial Advisor Stole Over $100K From Investors

Tammy Charlene Petersen, a financial advisor from Carrollton, Virginia, has been barred from the securities industry for stealing $107,378 from firm customers. She wired money from […]