Search for: "Pierce, Fenner & Smith Incorporated"
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12 Jan 2012, 4:48 am
. - I remember slugging proof on a Merrill Lynch deal and being astonished at how fast their people could say "Merrill no com Lynch com Pierce com Fenner ampersand Smith no com Incorporated six up. [read post]
28 May 2021, 1:27 pm
Curtis Smiley Primex Sandlapper Securities, LLC Michael Swenson Merrill Lynch, Pierce, Fenner & Smith Incorporated Piper Jaffray & Co. [read post]
8 Nov 2021, 1:01 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Incorporated Bradley Holts World Capital Brokerage, Inc. [read post]
11 Aug 2015, 5:59 am
David StevensonCase Number: 15-cv-03528 (United States District Court for the District of New Jersey)Case Filed: May 26, 2015Qualifying Judgment/Order: May 29, 2015 6/30/15 9/28/15 2015-63 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015 6/30/15 9/28/15 2015-62 SEC v. [read post]
8 Mar 2021, 12:19 pm
Aaron Pierett Merrill Lynch, Pierce, Fenner & Smith Incorporated Wells Fargo Clearing Services, LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
6 Dec 2021, 9:58 am
Scarlett Ramsey NYLife Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Timothy Williams Edward Jones For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
31 Dec 2010, 8:41 pm
Ernesto Zuniga Gomez, previously with Merill Lynch, Pierce, Fenner & Smith Incorporated in San Diego, CA, was named as a respondent in a FINRA complaint alleging that he created Verbal Authorization Forms (VAFs) that falsely represented that clients had given him verbal authorization to transfer client funds from their account to other client accounts, thereby misusing customer funds. [read post]
11 Feb 2022, 8:25 am
According to his FINRA BrokerCheck profile, Darryl Cohen was affiliated with the following firms, during his career in the securities industry: 06/05/2015 – 04/08/2021, MORGAN STANLEY (CRD#:149777), WESTLAKE VILLAGE, CA, 05/16/2003 – 06/08/2015, WELLS FARGO ADVISORS, LLC (CRD#:19616), WESTLAKE VILLAGE, CA 02/28/1997 – 05/05/2003, MERRILL LYNCH, PIERCE, FENNER & SMITH… [read post]
26 Jan 2024, 8:27 am
(CRD#:7059), EL PASO, TXB, 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Failure to Supervise FINRA Rule 3110 specifically outlines the supervisory obligations of broker-dealers. [read post]
11 Jun 2019, 9:29 am
From October 2011 until June 2014 Kinsman was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
13 Sep 2021, 12:39 pm
(CRD#:39543), FORT WORTH, TX 08/08/2008 – 02/11/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), ARLINGTON, TX 08/29/2007 – 08/11/2008, BANC OF AMERICA INVESTMENT SERVICES, INC. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roumayeh was employed by his prior employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) prior to being investigated concerning his activities. [read post]
25 Feb 2022, 8:19 am
(CRD#:877), GLENDALE, AZ 01/03/2003 – 05/04/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), SUN CITY, AZ When brokers violate securities laws, such as making unauthorized transactions or unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
19 Aug 2022, 7:33 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Ameriprise Financial Services, LLC Wells Fargo Clearing Services, LLC Kara Gagnon Global Atlanticv Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Igor Kislitsa PFS Investments Inc. [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
28 Apr 2022, 8:28 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
17 Oct 2013, 10:03 am
See In re Kellogg Brown & Root, Inc., 166 S.W.3d at 739–40; In re Merrill Lynch, Pierce, Fenner & Smith, Inc., 195 S.W.3d at 816. [read post]
21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
25 Jul 2008, 7:17 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
