Investigation of Scott Muirhead and Merrill Lynch
Have you lost money with financial advisor Scott Muirhead of Jacksonville, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Scott Muirhead. FINRA barred Muirhead from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Muirhead regarding allegations that he engaged in unapproved private securities transactions without authorization from his brokerage firm, Merrill Lynch, and that he “misused” customer funds.
Scott Muirhead was a financial advisor and registered representative of Merrill Lynch from March 2014 to December 2014. He worked at a branch office in Jacksonville, Florida.
Brokerage firms like Merrill Lynch have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Muirhead FINRA AWC
Click to view: Muirhead BrokerCheck 4.20.16
HAVE YOU LOST MONEY WITH SCOTT MUIRHEAD OR MERRILL LYNCH?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798