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713-568-9008

713-568-9008

  • About Us
    • Our People
    • Our Values
  • Device Users
    • 3M Earplugs
    • Philips CPAP
  • Individuals
    • Partnership Litigation
    • Company Formation
    • Oil, Gas, and Investments
    • Fiduciary Disputes
      • Partnerships
    • Personal Injury & Wrongful Death
  • Businesses
    • DOJ INVESTIGATIONS
    • SHAREHOLDER LITIGATION
    • Securities and Investigations
    • EMERGING GROWTH COMPANIES
    • BUYING AND SELLING YOUR BUSINESS/MERGERS & ACQUISITIONS
    • Construction Litigation and Disputes
    • Real Estate Litigation or Arbitration
    • YOUR BUSINESS COUNSEL
    • SERVING AS LAWYER TO OTHER LAWYERS
    • Company Contracts
    • Employment Issues
    • Intellectual Property
    • Private Fundraising
  • Articles
  • Contact Us
The Spencer Law Firm - Business, Securities, Litigation

Merrill Lynch, Raymond James pay $12 million to FINRA

by Ashley Spencer | Nov 18, 2019 | Uncategorized

Customers who incurred excess fees on their 529 plans through Merrill Lynch, Pierce, Fenner & Smith, Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. will receive approximately $12 million in restitution. The move comes after the...

FINRA hits Merrill Lynch, Raymond James with $12 million in fines for 529 plans

by Ashley Spencer | Nov 15, 2019 | FINRA

Customers who incurred excess fees on their 529 plans through Merrill Lynch, Pierce, Fenner & Smith, Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. will receive approximately $12 million in restitution. The move comes after the...
  • About Us
    • Our People
    • Our Values
  • Device Users
    • 3M Earplugs
    • Philips CPAP
  • Individuals
    • Partnership Litigation
    • Company Formation
    • Oil, Gas, and Investments
    • Fiduciary Disputes
      • Partnerships
    • Personal Injury & Wrongful Death
  • Businesses
    • DOJ INVESTIGATIONS
    • SHAREHOLDER LITIGATION
    • Securities and Investigations
    • EMERGING GROWTH COMPANIES
    • BUYING AND SELLING YOUR BUSINESS/MERGERS & ACQUISITIONS
    • Construction Litigation and Disputes
    • Real Estate Litigation or Arbitration
    • YOUR BUSINESS COUNSEL
    • SERVING AS LAWYER TO OTHER LAWYERS
    • Company Contracts
    • Employment Issues
    • Intellectual Property
    • Private Fundraising
  • Articles
  • Contact Us

Contact Us

Bonnie E. Spencer

The Spencer Law Firm
Executive Tower West Plaza
4635 Southwest Freeway
Suite 900
Houston, TX 77027

Map and Directions

Phone: 713-568-9008
Toll Free: 888-237-4529
Fax: 713-961-5336

Hours:
8am–5pm

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