Victim: Kraig Higginson

Victim - Company

Kraig Higginson is the Executive Chairman of the Board at Sundance Strategies, Inc. Higginson served as Chief Executive Officer of VIA Motors, Inc., until January 2014. From October 2003 until November 2010, he served as Chairman of the Board of Directors of Raser Technologies. Higginson also founded American Telemedia Network, Inc., a publicly-traded NASDAQ company. In 2019, Raser Technologies filed a lawsuit against Morgan Stanley and claimed the defendants “devised and perpetrated a naked short selling stock manipulation scheme that targeted and intentionally destroyed a Utah company, Raser Technologies.” This action resulted in Raser filing for bankruptcy. Plaintiffs also subsequently sued Merrill, Goldman, and several related entities, for violations of the Utah Pattern of Unlawful Activity Act.

Biography

Sundance Strategies

 

Subject: Andy Sieg

Subject of Interest

Andy Sieg is the President of Merrill Lynch Wealth Management (MLWM) and a member of Bank of America’s executive management team. As head of MLWM, he oversees approximately 25,000 employees – including more than 14,700 financial advisors – who provide investment and wealth management strategies to individuals and businesses across the U.S. From 2005 to 2009, he led the Emerging Affluent Client Segment within Citigroup Global Wealth Management. In 2009, after Merrill’s acquisition by Bank of America, Sieg returned to Merrill. Earlier in his career, Sieg served in the White House as an aide to the assistant to the president for Economic and Domestic Policy. In 2015, he participated in the White House Conference on Aging. Sieg earned a Bachelor of Science in economics from Penn State University, and serves on the external advisory board of its Schreyer Honors College. He also holds a master’s in public policy from the Harvard Kennedy School, where he serves on the Dean’s Council.

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Matthew Gellene

Subject of Interest
Matt Gellene is the Head of Financial Center Merrill Edge & National Performance Executive. He also serves as the National Sales Performance Executive. Previously, Gellene held sales executive roles at Fleet Financial Group, Bank of America’s Premier Banking and Investments team and Banc of America Investment Services, Inc. Gellene received a Bachelor of Business Administration from The George Washington University and a Masters of Business Administration from the University of California, Berkeley, Haas School of Business.

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Tracy Mazzoni

Subject of Interest
Tracy Mazzoni is the Head of Merrill Edge Client Management. Mazzoni leads Merrill Edge Client Management (MECM) and the centralized Financial Solutions Advisors (FSAs). Prior to joining Merrill Edge, Mazzoni has held various sales, service and talent development roles during her career within Merrill Lynch Wealth Management including PMD Manager and Sales Manager for the South Atlantic division, Financial Advisor and Registered Client Associate. She graduated from the University of Virginia with degrees in Economics and International Relations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Forrest Skriletz

Subject of Interest
Forrest Skriletz is the Head of Merrill Edge Business Planning & Operations.

Skriletz leads the Merrill Edge Business Planning & Operations team. In this role, Forrest is responsible for Merrill Edge strategic initiatives, business planning and optimization efforts.  Skriletz began his career at Merrill Lynch in 2001 when he joined the Merrill Lynch as an Investor Services Advisor. He has held a variety of roles including business analyst, project manager and business development manager responsible for client acquisition strategy and program development for the Merrill Edge Advisory Center. Most recently, he led the Merrill Edge Client Management organization. Forrest holds Series 7, 9, 10 and 66 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Deb A. Ruick

Subject of Interest
Deb A. Ruick is the Head of Merrill Edge Client Services. She leads the Merrill Edge Client Services division with a focus on primarily serving as a primary point of contact for all Merrill Edge clients and assisting with trading, investing and account information. Ruick also has responsibility for the Merrill Edge talent management, recruiting, diversity and development efforts. Ruick previously worked at E*TRADE and Fidelity Investments. She has a BS in Finance from Weber State University. She holds Series 6, 7, 24, 8 and 63 FINRA registrations.

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Teron Douglas

Subject of Interest
Teron Douglas is  the Head of Merrill Edge Digital Capabilities and leads the team responsible for the Merrill Edge digital channels and investing capabilities. Douglas joined Merrill Edge from E*TRADE in 2015, where he was Senior Vice President and COO of Investor services. Douglas began his career at Wells Fargo, where he worked in mortgage underwriting supporting their early digitization efforts. He has a BS in Economics and an MBA from the University of Wyoming. He holds Series 4, 7, 24, 63 and 65 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”

 

Subject: Rob DeJesus

Subject of Interest
Rob DeJesus is the Head of Merrill Edge Sales & GWIM Integration and is responsible for Merrill Edge’s online investing and trading platform, self-directed sales and relationship management. DeJesus joined Merrill Edge from Citi in 2011, where he spent five years and was director of the National Investment Center. Prior to joining Citi, Rob spent 12 years at TD Ameritrade, where he held positions across sales, service, operations, risk, and strategic initiatives. Rob holds Series 7, 63, 65, 24, 9 and 10 FINRA registrations.

Subject: David Poole

Subject of Interest

David Poole is the Consumer Investments Solutions & Client Services Executive and leads the Consumer Investments Solutions & Client Services team in Bank of America Corporation’s Merrill division. Prior to joining Bank of America in 2013, he held various senior leadership roles across sales and service at E*Trade over a 14 year period. His most recent role at E*Trade was Vice President of Customer Service. Poole holds an MBA degree from University of Georgia as well as a Bachelor of Social Sciences degree. He received a Certificate of Financial Planning from Florida State University and holds Series 7, 63, 24, and 4 FINRA registrations.

Biography

Merrill Edge aka “MLPF&S” or “Merrill”