Search for: "James A Merrill "
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24 Oct 2008, 11:07 am
Raymond James snags high-earning Merrill team: "A veteran Michigan-based brokerage team at Merrill Lynch & Co. [read post]
6 Sep 2012, 9:30 pm
Securities fraud attorneys are currently investigating claims on behalf of victims of James Ryan Lanier, a financial advisor for Merrill Lynch. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
8 Dec 2015, 3:22 am
Merrill Raises the Bar on Broker PayRelated articlesDealBook: Bank of America Nears $17 Billion Settlement Over Mortgages Merrill Advisors With $500M Go IndyRaymond James Sets Recruiting Record: $3B TeamMerrill Using Robots, Not BrokersEfforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Accounts [read post]
8 Nov 2019, 12:19 pm
Merrill Lynch & Raymond James Sanctioned for Alleged 529 Plan Violations According to the Financial Industry Regulatory Authority (FINRA), Merrill Lynch, Raymond James & Associates and Raymond James Financial Services have reportedly agreed to pay a combined $12 million in restitution to customers for alleged 529 savings plan violations. [read post]
13 Aug 2011, 12:39 pm
[JURIST] A federal appeals court on Friday upheld [opinion, PDF] the conviction of ex-Merrill Lynch [corporate website] executive James Brown stemming from his role in the Enron fraud scandal [JUIRST news archive]. [read post]
20 Aug 2012, 11:27 am
Have you been defrauded by Merrill Lynch financial advisor James Ryan Lanier? [read post]
20 Aug 2012, 11:27 am
Have you been defrauded by Merrill Lynch financial advisor James Ryan Lanier? [read post]
13 Jul 2018, 7:17 am
From June 2006 to March 2016, James was registered with Merrill Lynch. [read post]
16 Sep 2010, 9:28 am
James Brown was convicted [JURIST report], along with three other former Merrill Lynch executives in 2004, in the first criminal trial stemming from the Enron collapse. [read post]
1 Mar 2007, 1:51 pm
"The volume and complexity of discoverable material is expandingrapidly," said Mike James, President, Merrill Legal Solutions. [read post]
2 Mar 2007, 6:12 am
"The volume and complexity of discoverable material is expanding rapidly," said Mike James, President, Merrill Legal Solutions. [read post]
11 Jun 2023, 1:38 pm
Iannazzo was fired by Merrill Lynch a year [...] [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]
10 Aug 2012, 2:26 pm
The Federal Bureau of Investigation (FBI) on August 9, 2012 released the following: "TALLAHASSEE-Today James Ryan Lanier, 33, was arrested in San Diego, California, on fraud, money laundering, and identity theft charges relating to the embezzlement of more than $800,000 in funds from Merrill Lynch clients. [read post]
10 Aug 2012, 2:26 pm
The Federal Bureau of Investigation (FBI) on August 9, 2012 released the following: "TALLAHASSEE-Today James Ryan Lanier, 33, was arrested in San Diego, California, on fraud, money laundering, and identity theft charges relating to the embezzlement of more than $800,000 in funds from Merrill Lynch clients. [read post]
15 Mar 2019, 6:26 am
For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
23 Sep 2014, 12:24 pm
According to InvestmentNews, Bank of America Merrill Lynch asked two veteran advisors, James Goetz and Stephen Brown, to resign for allegedly recommending clients invest outside the firm. [read post]
20 Aug 2010, 9:04 am
andquot;Firms have been on notice since at least 2004 that they must develop and implement procedures to ensure customers receive appropriate sales charge discounts for UIT investments,andquot; said James S. [read post]
19 Nov 2015, 5:00 am
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
