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MICHAEL AHEARN of Wells Fargo and Merrill Lynch is BARRED

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30
Apr

MICHAEL AHEARN of Wells Fargo and Merrill Lynch is BARRED

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MICHAEL AHEARN of Wells Fargo and Merrill Lynch is BARRED

Have you lost money with financial advisor Michael Ahearn of Jenkintown, Pennsylvania? 

 

The law firm of Israels & Neuman is looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael John Ahearn. FINRA barred Ahearn from the securities industry.  FINRA alleged that Ahearn provided false testimony during an investigation.  FINRA was investigating allegations that Ahearn allowed another registered representative, identified as “GW”, to be the trustee of an account while failing to disclose that GW was registered with another brokerage firm.

 

Michael Ahearn was a financial advisor and registered representative of Wells Fargo from 2004 to May 2011.  He also was with Merrill Lynch from May 2011 to September 2016.  He worked at a branch office in Jenkintown, Pennsylvania.

 

Brokerage firms like Wells Fargo have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Pennsylvania.  Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against Wells Fargo and Merrill Lynch.

 

Click to view:  Ahearn, Michael BrokerCheck

Click to view:  Ahearn FINRA Order

 

If you lost money with Michael Ahearn, or Wells Fargo, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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