Greg Bentley

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Complaints Database Broker Name

Greg Bentley

Complaints Database Employer

Cape Securities Inc., Merrill Lynch

Complaints Database Allegations

While with his former employer, Merrill Lynch, it was alleged that representative Greg Bentley requested and received a loan from a female customer. According to FINRA Rule 3240, No person associated with a member in any registered capacity may borrow money from or lend money to any customer of such person unless certain, strict rules are met and the firm approves.

Complaints Database Outcome

TERMINATION

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