Search for: "MERRILL LYNCH, PIERCE, FENNER & SMITH, INC."
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3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch,… [read post]
28 Dec 2018, 9:31 am
Christopher Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Boca Raton, Florida from September 21, 2016 until October 16, 2018, FINRA notes. [read post]
24 Dec 2018, 7:31 am
Paul Murans has also worked for UBS Financial Services Inc. in Indianapolis, Indiana from March 11, 2011 until November 6, 2017 and also was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Indianapolis, Indiana from April 11, 2003 until March 28, 2011, FINRA states. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing… [read post]
18 Dec 2018, 11:03 am
Pro-Integrity Securities, Inc Makiaha Evans Brendan Feitelberg United Planners’ Financial Services of America LPL Financial LLC Edgar Guzman-Gonzalez JP Morgan Securities LLC Mario Jimenez Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N. [read post]
27 Nov 2018, 10:11 am
William Dumchus has also worked at the following firms: • Wells Fargo, NJ, Westfield, NJ — February 3, 2006 through April 17, 2014 • UBS Financial Services, Inc., Weehawken, NJ — December 1, 2000 through February 23, 2006 • Salomon Smith Barney, Inc., New York, NY — July 31, 1993 through December 11, 2000 • Lehman Brothers Inc., New York, NY — April 27, 1984 through July 31, 1993 • … [read post]
23 Nov 2018, 4:06 am
Cody was previously registered with Salomon Smith Barney and Merrill lynch Pierce, Fenner & Smith Inc. [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]
26 Oct 2018, 7:31 am
Cole Financial, Inc Keven Gayle NYLife Securities LLC Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America NA Cristhelle Medina J.P. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital,… [read post]
3 Oct 2018, 9:45 am
The securities attorneys at Gana Weinstein LLP are currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merill Lynch) broker Charles Kenahan (Kenahan). [read post]
2 Oct 2018, 5:48 am
According to FINRA Disciplinary actions for September 2018, the following individuals were barred 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 Mona Ali JP Morgan Securities LLC JP Morgan Chase Bank Bobbie Jo Besler Farmers Financial Solutions State Farm VP Mgmt Corp Jeffrey Cederberg… [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]
19 Sep 2018, 12:00 am
(See Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
13 Sep 2018, 9:16 am
(CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, LLC (CRD #19616), both of Austin, TX. [read post]
27 Aug 2018, 10:36 am
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Fort Worth. [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]
21 Aug 2018, 5:17 am
Rawson Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Anteneh A. [read post]
20 Aug 2018, 12:51 pm
(CRD #16361), also of Clearwater, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of New York, NY. [read post]
10 Aug 2018, 11:07 am
Broker Charles Ernest Kenahan (CRD #1351974) is a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Boston, MA, registered since 12/7/2007. [read post]
