Search for: "James A Merrill "
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30 Apr 2008, 7:30 am
Investors ought to beware that the brokerage firms named in the suits alleging class action status include, Citigroup, E*Trade Financial, Merrill Lynch, Morgan Stanley, Deutsche Bank, Raymond James Financial, SunTrust Banks, TD Ameritrade, UBS and Wachovia. [read post]
23 Dec 2007, 10:15 pm
The re-trial against the third Merrill banker -- James Brown -- has been severed for a separate trial, which has not yet been scheduled. [read post]
9 Jul 2018, 12:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Michael P. [read post]
28 Feb 2023, 7:41 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Carl Birkelbach Birkelbach Investment Securities, Inc. [read post]
15 Aug 2008, 9:10 pm
There are ongoing investigations and likely actions against Merrill Lynch, Goldman Sachs, Bank of America, RBC, Lehman Brothers, Oppenheimer, Credit Suisse, and Raymond James. [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, 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 Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities, Inc Global… [read post]
21 Aug 2018, 5:17 am
Rawson Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Anteneh A. [read post]
24 Apr 2010, 12:21 pm
Let the bankers fail,” by James Grant, Washington Post. [read post]
6 Jan 2015, 10:24 am
Cory Booker” by Everett Merrill in the Daily Record. [read post]
16 May 2016, 10:48 am
According to Ingros’ FINRA BrokerCheck, he was employed by RAYMOND JAMES FINANCIAL SERVICES, INC from 11/2013 – 02/2016 and MERRILL LYNCH from 05/2007 – 11/2013. [read post]
28 Jan 2011, 5:34 am
In the past, her jobs have been at Merrill Lynch, American Funds, Pimco in Newport Beach, and at West Coast Choppers in Long Beach, where she worked for Jesse James, the former husband of actress Sandra Bullock. [read post]
26 Jan 2015, 4:06 pm
Merrill, New York – Professor, Columbia University School of LawNorth Carolina Tanya D. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases); Ameriprise Financial… [read post]
18 Apr 2011, 5:00 pm
Based on both ProPublica’s and Yves Smith’s work, James Kwak helped put the pieces together in this blog post: [The hedge fund] Magnetar made the Wall Street banks look like chumps. [read post]
18 Apr 2011, 5:01 pm
Within Merrill Lynch, some traders called it a “million for a billion” — meaning a million dollars in bonus money for every billion taken on in Merrill mortgage securities. [read post]
18 Dec 2018, 11:03 am
James Schwede Zachary Sherry Jr. [read post]
8 Feb 2010, 1:02 pm
Rakoff on the SEC/BofA: New York federal judge Jed Rakoff didn’t look so kindly at the last settlement proposal sent his way by the SEC and Bank of America over disclosures (or lack thereof) concerning bonuses paid to Merrill Lynch executives around the time of the BofA/Merrill merger. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities … [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
