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25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
9 Jul 2018, 12:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Michael P. [read post]
29 Dec 2020, 7:40 am
His previous employers include Fortune Financial Services, 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]
25 Jun 2018, 5:21 am
SEC Charges Merrill Lynch for Failure to Supervise RMBS TradersMerrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges that its employees misled customers into overpaying for Residential Mortgage Backed Securities (RMBS). [read post]
15 Mar 2018, 5:00 am
-based broker-dealer and its investment manager have been charged with securities fraud in connection with manipulative trading in the securities of HD View 360 Inc., a U.S. [read post]
3 May 2020, 10:03 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to January 2009. [read post]
24 Jan 2022, 2:01 pm
According to FINRA Disciplinary actions for January 2022, 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 Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Inc Bradley Holts World Capital Brokerage, Inc. [read post]
4 Apr 2012, 2:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. in which George McReynolds is suing the defendants on behalf of himself and approximately 700 current and former employees of Merrill Lynch (a branch of Bank of America) for discrimination which led to them getting paid less and having fewer opportunities for advancement than their white co-workers. [read post]
24 Jul 2007, 3:06 am
Mortgage Inc. v. [read post]
13 Jan 2022, 5:00 am
A leading feature of the Supreme Court’s decision in Wal-Mart Stores, Inc. v. [read post]
18 May 2016, 5:45 am
*************************************************** In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [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]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, 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 Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp … [read post]
26 Sep 2022, 1:56 pm
His former employers are Citigroup Global Markets Inc. [read post]
6 Jun 2012, 5:00 am
In re Merrill Lynch Auction Rate Securities Litigation arose out of an action by an investor, Louisiana Pacific Corporation (“plaintiff”) filed suit against underwriters Merrill Lynch & Co. and Merrill Lynch, Pierce, Fenner and Smith Inc. [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise… [read post]
1 Jun 2022, 9:16 am
According to FINRA Disciplinary actions for May 2022, 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 Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
2 Apr 2012, 10:00 pm
Pursuant to the ATP, the promissory notes were made between the registered representatives and Merrill Lynch International Finance, Inc. [read post]
