Complaints Database Broker Name
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