Search for: "Fenner Inc"
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25 Jan 2011, 1:52 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. [read post]
24 Dec 2019, 8:12 am
Edwards & Sons, Inc. [read post]
29 May 2019, 8:37 am
His previous employer was FMSBONDS, INC. [read post]
13 Feb 2013, 1:13 pm
” Fenner Precision, Inc. v. [read post]
2 Mar 2012, 2:15 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639 (7th Cir., Feb. 24, 2012), which was the subject of Wednesday’s CAB post, here’s a link to an insightful executive alert on the decision, which was authored by colleagues in Baker Hostler’s New York office, partner Deborah Renner and associate Matthew Moody. [read post]
28 Apr 2010, 4:30 pm
Fenner v. [read post]
11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
12 Feb 2015, 11:27 am
In affirming ED Texas in Fenner v. [read post]
30 Oct 2012, 7:25 am
The United States District Court for the Northern District of Georgia has upheld a $520,283 FINRA Arbitration Award rendered against Merrill Lynch Fenner & Smith Inc. [read post]
1 Dec 2015, 2:01 pm
In Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
10 Aug 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012) (discussed in this blog post). [read post]
19 Nov 2006, 1:11 pm
In a complex action involving the estates of Ferdinand and Imelda Marcos as plunderers of Philippine assets, Merrill Lynch, Pierce, Fenner and Smith, Inc. v. [read post]
16 May 2016, 1:53 pm
The US Supreme Court [official website] ruled [opinion, PDF] unanimously Monday in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
13 Sep 2018, 9:16 am
Cole Financial, Inc. [read post]
27 Aug 2018, 10:22 am
(CRD #4161) and Amsouth Investment Services, Inc. [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 Plan… [read post]
5 Aug 2016, 7:27 am
From August 6, 2013 until August 6, 2014, William was associated with FINRA member Merrill Lynch, Pierce, Fenner& Smith, Inc. [read post]
3 Aug 2016, 2:30 pm
Margiotta has been employed and registered since June 2015 with Merrill Lynch, Pierce, Fenner & Smith, Inc., a broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Aug 2018, 12:51 pm
He was previously employed with Banc Of America Investment Services, Inc. [read post]
10 Aug 2018, 11:07 am
Inc. [read post]
