Scott Muirhead– Unapproved Private Securities Transactions and Misused Customer Funds

investment fraud attorneysScott Muirhead, Formerly of Merrill Lynch, Allegedly Participated in Unapproved Private Securities Transactions and Misused Customer Funds

Scott Muirhead, formerly of Merrill Lynch, allegedly participated in unapproved private securities transactions and misused customer funds, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and Joe Peiffer.

Scott Muirhead, who was a financial advisor and registered representative of Merrill Lynch from March 2014 to December 2014 at a branch office in Jacksonville, Florida, reportedly received a request from FINRA staff on February 5, requesting that he provide documents and information, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are investigating Scott Muirhead’s alleged unapproved private securities transactions and misuse of customer funds.

Scott Muirhead Barred by FINRA after Allegedly Failing to Respond to a FINRA Investigation

Scott Muirhead allegedly sent an e-mail to FINRA staff on February 12, 2016, and by this agreement, acknowledged that he received FINRA’s request to provide the requested documents and information at any time, according to the AWC.

By refusing to respond to FINRA’s request for documents and information as requested pursuant to FINRA Rules, Muirhead allegedly violated FINRA Rules.

One should also note that, according to the AWC, Scott Muirhead neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unapproved private securities transactions and misuse of customer funds, and are currently investigating Scott Muirhead’s alleged unapproved private securities transactions and misuse of customer funds. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Scott Muirhead’s alleged unapproved private securities transactions and misuse of customer funds may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1123 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.