Testing the Case

Published Saturday, July 01, 2006

John Coghlan was living a charmed life in 2001. He worked at Merrill Lynch's San Diego office, leading a group of registered reps and sales assistants working in his area of expertise: retirement planning. Moreover, he had a marketing plan and approach that was humming along. He conducted retirement-planning seminars for employees of corporations, and supplemented that effort with mail and phone solicitations. A Matter of Style In January 2002, during an internal audit of the San Diego office by Merrill's compliance department, the auditor reviewed some of Coghlan's marketing material, which had been approved by the San ...

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