Merrill Customer Sues Over Lax WhatsApp Supervision

[Gunnar Larson]

Subject: Merrill Customer Sues Over Lax WhatsApp Supervision

Merrill Customer Sues Over Lax WhatsApp Supervision
<https://www.law360.com/compliance/articles/1796380?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-02-12&read_main=1&nlsidx=0&nlaidx=3>

By Sarah Jarvis

A Merrill customer has filed suit against two of the broker-dealer's branch
managers for allegedly failing to supervise advisers who used WhatsApp to
communicate about risky options strategies that ultimately wiped out his
account.

 Complaint attached | Read full article »
<https://www.law360.com/compliance/articles/1796380?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-02-12&read_more=1&nlsidx=0&nlaidx=3>
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