Published On: October 7, 2016

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Judith Ebsary was accused of executing securities transactions in the retirement accounts of six Merill Lynch customers that were held at financial institutions other than Merrill Lynch. She did not notify the firm of her actions. This is against securities rules and regulations. She consented to a fine of $5,000 and to be suspended from the industry for a period of 20 business days.

Ebsary was registered with Salomon Smith Barney in New York, New York from October 1998 until November 1998, Advest Inc. in Hartford, Connecticut from December 1998 until May 1999, Morgan Stanley in Hyannis, Massachusetts from April 2007 until November 2007, Morgan Stanley in Hyannis from April 2007 until November 2007, Merrill Lynch in Westborough, Massachusetts from November 2007 until April 2015 and Raymond James in Franklin, Massachusetts from March 2015 until August 2016. She has one customer dispute against her. She is not currently licensed within the industry.

Please call our securities law offices located in Chicago, today, for a free consultation with one of our attorneys about your options of bringing legal action against Merrill Lynch for losses suffered because of Ms. Ebsary. We try cases in the FINRA arbitration forum for clients on a contingency fee basis. Please call today. 312-332-4200.

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