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Articles Posted in SBA loans

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Inappropriate COVID-19 Loan Applications Led To FINRA Sanctions for Brokers From Wells Fargo, J.P. Morgan Securities, and Merrill Lynch

COVID Relief Loans Involved Undisclosed Business Outside Their Brokerage Firms  According to InvestmentNews, ex-J.P. Morgan Securities broker Gloria Willis, former Merrill Lynch stockbroker Evelyn Batista, and ex-Wells Fargo financial advisor Kenric Sexton have either been barred or suspended from the securities industry. These Financial Industry Regulatory Authority (FINRA) sanctions were…

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