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Confidential Settlement Against Merrill Lynch

The Attorneys at HW recently resolved a FINRA (securities) arbitration against Merrill Lynch and one of its financial advisors with a confidential settlement.  The allegations were that Merrill Lynch had placed its client and investor in an unsuitable investment and had invested over $1.5 million on margin without permission to do so.  The settlement resolved claims of fraud, financial elder abuse, and breach of fiduciary duty.

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