Search for: "Merrill Lynch & Company Incorporated"
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6 Aug 2019, 11:00 pm
Through his law firm and independent registered investment advisory company, Victor provides 360º Wealth Protection Strategies for individuals in or nearing retirement. [read post]
18 Jun 2019, 1:05 pm
Michael Milad Tanha Allegedly Engaged in Five Outside Business Activities without Providing Prior Written Notice to Merrill Lynch, Pierce, Fenner & Smith Incorporated Michael M. [read post]
27 Mar 2019, 11:21 am
Merrill Lynch Sanctioned for Alleged ADR Violations According to a press announcement this week, Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay more than $8 million to settle SEC charges of infractions related to American Depositary Receipts (ADR), the U.S. securities representing foreign shares in foreign companies. [read post]
22 Mar 2019, 8:55 am
The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).ADRs – U.S. securities that represent foreign shares of a foreign company – require a corresponding number of foreign shares to be held in custody at a depositary bank. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip JP… [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
13 Nov 2018, 5:57 am
Hibbard’s most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated of Louisville, KY, from July 16, 2010 through January 26, 2018, and his previous employers include Morgan Keegan & Company, Inc., also of Louisville, and A. [read post]
2 Nov 2018, 10:41 am
Morgan Securities LLC (CRD #79), also of New York, NY, Santander Securities (CRD #41791) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) both of Miami, FL. [read post]
6 Oct 2018, 1:00 am
These are still profit‑driven companies. [read post]
3 Oct 2018, 9:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Christopher Hibbard (Hibbard), formerly associated with Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Merrill Lynch) in Louisville, Kentucky was terminated for cause by Merrill Lynch in January 2018 after the firm made allegations that Hibbard engaged in conduct including unauthorized transactions and theft. [read post]
2 Oct 2018, 5:40 am
Robin Lomont Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Shawn Palmer LPL Financial LLC Woodbury Financial Services, Inc Somning Pheth Wells Fargo Clearing Services, LLC Wells Fargo Bank NA Phillip Schreiner Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
24 Sep 2018, 6:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Frank Zito (Zito), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in Ridgeland, Mississippi and currently registered with Coker & Palmer was terminated concerning allegations that Zito engaged in conduct such as failure to adhere to firm standards regarding selling away and failure to fully disclose… [read post]
27 Aug 2018, 10:22 am
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
2 Aug 2018, 12:55 pm
From December 1991 to April 2008, Stucker was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
13 Jul 2018, 7:17 am
From June 2006 to March 2016, James was registered with Merrill Lynch. [read post]
6 Jul 2018, 11:46 am
From March 2006 to July 2007, Meyers was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
28 Jun 2018, 2:11 pm
His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. [read post]
1 Jun 2018, 11:35 am
James was previously employed with: Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Wayzata, MN, from 06/16/2006 to 03/24/2016 Continue reading The post FINRA Bars Stifel Nicolaus Broker John M. [read post]
15 May 2018, 1:21 pm
Previously, Camarco was employed at LPL Financial LLC from 2004 to 2017, Morgan Stanley DW Inc. from 2000 to 2004, and Merrill Lynch Pierce, Fenner & Smith Incorporated from 1993 to 2000. [read post]
23 Apr 2018, 1:20 am
As the authors note, the decision has important implications for companies and their D&O insurers, as well as for claims going forward. [read post]
