Jeff Hausinger and his Conflicted Past

The CEO and President of this firm is Jeff Hausinger and his FINRA BrokerCheck says that he has had two legal disputes. His first FINRA BrokerCheck disclosure is an employment termination notice. In 2010, he had to take voluntary resignation from his position at Merrill Lynch, Pierce, Fenner & Smith Inc.  The cause was an internal review concerning potential violations of firm policies regarding communications with clients and the public, employee conduct, and impermissible payments. Media reports were suggesting that he gave money to a third party, who was not a Merrill Lynch customer. He denied all allegations and claimed that Merrill Lynch had made false allegations.