According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Adriane Cagle allegedly altered client documents while she was registered with Merrill Lynch. Ms. Cagle also signed as a witness to customer signatures on certain documents without having actually witnessed the customers sign them. These are against securities laws. For this she was fined $5,000 and suspended from the industry for two months. Ms. Cagle was registered with Merrill Lynch in Peachtree City, Georgia from September 2013 until August 2016. She is currently not registered within the industry. Brokerage firms like Merrill Lynch have an ironclad obligation to reasonably supervise its employees and, if it does not, can be held liable for investment losses. Please call us today at 312-332-4200 if you suffered losses with Ms. Cagle. We may be able to help you bring a claim against Merrill Lynch in the FINRA arbitration forum on a contingency fee basis. The call is free with no obligation.
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