A former Merrill Lynch and Morgan Stanley broker has been barred from the securities industry by the Financial Industry Regulatory Authority for failing to provide information regarding his recent termination from Merrill Lynch, according to a recent news article.
Broker Ryan Raskin, previously based in Beverly Hills, worked at Morgan Stanley for almost eight years before joining Merrill Lynch in 2016. Merrill Lynch terminated Raskin last year, and FINRA sought information from the broker regarding the termination, which Raskin declined to provide.
Lawyers in Fishman Haygood’s Investment Fraud Division are actively monitoring regulatory actions and other broker-dealer disciplinary actions to stay up-to-date on the latest developments in the industry.
If you believe that you may have suffered financial losses due to the misconduct of a financial professional, we may be able to help. Please contact us for a free evaluation of your potential claim.
