{"id":8173,"date":"2019-05-20T12:11:38","date_gmt":"2019-05-20T16:11:38","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8173"},"modified":"2019-05-20T12:11:38","modified_gmt":"2019-05-20T16:11:38","slug":"finra-bars-marcus-boggs-after-5-6m-in-unauthorized-funds-transfers","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-marcus-boggs-after-5-6m-in-unauthorized-funds-transfers\/","title":{"rendered":"FINRA Bars Marcus Boggs After $5.6M In Unauthorized Funds Transfers"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-4714 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts-300x200.jpg\" alt=\"Marcus E. Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Chicago, IL, from 2\/7\/2006 through 12\/18\/2018. No current or additional employment information is available.Marcus Boggs is the subject of five disclosures. Three customer disputes were filed on 11\/21\/2018, 12\/16\/2018 and 12\/17\/2018, all alleging unauthorized ACH transfers of funds into an American Express account, totaling $5,601,758.71.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts-180x120.jpg 180w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts.jpg 743w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Marcus E. Boggs (CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5055667\" target=\"_blank\">5055667<\/a>) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Chicago, IL, from 2\/7\/2006 through 12\/18\/2018. No current or additional employment information is available.<\/p>\n<p>Marcus Boggs is the subject of five disclosures. Three customer disputes were filed on 11\/21\/2018, 12\/16\/2018 and 12\/17\/2018, all alleging unauthorized ACH transfers of funds into an American Express account, totaling $5,601,758.71. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-marcus-boggs-after-5-6m-in-unauthorized-funds-transfers\/#more-8173\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Marcus E. Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner &#038; Smith Incorporated (CRD#:7691) of Chicago, IL, from 2\/7\/2006 through 12\/18\/2018. No current or additional employment information is available.Marcus Boggs is the subject of five disclosures. Three customer disputes were filed on 11\/21\/2018, 12\/16\/2018 and 12\/17\/2018, all alleging unauthorized ACH transfers of funds into an American Express account, totaling $5,601,758.71<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-8173","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars Marcus Boggs After $5.6M In Unauthorized Funds Transfers<\/title>\n<meta name=\"description\" content=\"Marcus Boggs, a former registered broker with Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated of Chicago, IL, is the subject of five disclosures.\" \/>\n<meta name=\"robots\" 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