William Mulder and Merrill Lynch

Have you lost money with financial advisor William Mulder of Tulsa, Oklahoma?  We are investigating allegations made by the Oklahoma Securities Commission against William B. Mulder. Oklahoma seeks to revoke Mulder’s securities license regarding allegations that he misrepresented a variable annuity sold to customers, that he embezzled funds, that he was fired by his brokerage firm Merrill Lynch, and that he was the subject of customer complaints.

William Mulder was also previously the subject of an investigation by FINRA, the Financial Industry Regulatory Authority.  FINRA barred Mulder in 2014.

William Mulder was a financial advisor and registered representative of Merrill Lynch, Inc. from 1997 to May 2012.  He worked at a branch office in Tulsa, Oklahoma.  Mulder has been the subject of at least five customer complaints.

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 Oklahoma, including in the Tulsa and Oklahoma City areas. 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 AmWilliama, National Securities Corp., and many others.

Click to view:  Mulder OK Comp

Click to view:  Mulder BrokerCheck 7.8.16

HAVE YOU LOST MONEY WITH WILLIAM MULDER OR MERRILL LYNCH?

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

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