Search for: "Merrill Lynch, Pierce, Fenner & Smith"
Results 161 - 180
of 605
Sorted by Relevance
|
Sort by Date
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
7 Mar 2022, 7:24 am
His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH, Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
20 May 2008, 2:54 pm
In 2007, investor Ronald Ventura had filed a securities fraud lawsuit against Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Inc., and Blodget. [read post]
24 Jun 2008, 12:36 am
In 2002, the New York State Attorney General's Office accused Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch & Co. [read post]
18 Jun 2014, 7:47 am
.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In… [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529… [read post]
9 May 2016, 6:06 am
Bank Of America Corporation, Bank Of America Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Defendants (Complaint, SDNY, 16-CV-03653, May 16, 2016).BackgroundThe Complaint c... [read post]
25 Apr 2015, 4:21 am
., Civil Action No. 1:10-CV-01277 Notice of Covered Action 2011-33In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File No. 3-14204 Notice of Covered Action 2011-101In the Matter of Navistar International Corporation, Daniel C. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC… [read post]
28 Feb 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639, slip op. (7th Cir. [read post]
31 Jan 2020, 11:13 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Heather Weber (Weber), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least ten customer complaints during the course of her career. [read post]
16 May 2019, 10:53 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. [read post]
15 Oct 2012, 1:53 pm
On August 24, 1998, Enrique Vila entered the securities industry as a General Securities Representative of Merrill Lynch, Pierce, Fenner & Smith. [read post]
5 Feb 2019, 2:26 pm
Merrill Lynch Pierce Fenner & Smith Inc., FINRA Office of Dispute Resolution Case No.: 18-00845. [read post]
9 Aug 2013, 8:34 am
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC (BAS). [read post]
17 Aug 2012, 1:47 pm
During the applicable period, from March 31, 2009 to August 13, 2009, he was registered with Merrill Lynch, Pierce, Fenner, & Smith, Inc. [read post]
23 Aug 2021, 1:08 pm
Peter Ianace (Peter Vincent Ianace CRD# 3238078) was a registered broker and investment adviser who most recently was registered with Wells Fargo Clearing Services, but spent 2011-2019 as a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas. [read post]
5 Apr 2012, 1:49 pm
” Merrill Lynch Loses $10 Million Compensation Ruling, The Wall Street Journal, April 4, 2012 Merrill Lynch Savaged by FINRA Arbitrators in Historic Employee Dispute, Forbes, April 4, 2012 More Blog Posts: Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court, Stockbroker Fraud Blog, November 30, 2011 Merrill Lynch Faces $1M FINRA Fine Over… [read post]
6 Feb 2018, 7:36 am
Barry Jones Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
