Search for: "MERRILL LYNCH, PIERCE , FENNER & SMITH, INC."
Results 61 - 80
of 447
Sorted by Relevance
|
Sort by Date
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
2 Apr 2012, 10:00 pm
Rasnick FINRA recently announced that it fined Merrill Lynch, Pierce, Fenner & Smith (“Merrill”) one million dollars for failing to arbitrate claims with employees. [read post]
28 Jun 2012, 3:38 pm
The Financial Industry Regulatory Authority says that it is fining Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8M in the wake of certain alleged supervisory failures that the SRO says led to the financial firm billing clients unwarranted fees. [read post]
1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
1 Nov 2019, 4:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Release)CFTC Charges Companies and Associates with Failing to Register with the CFTC (CFTC Release)Baton Rouge Man Pleads Guilty in Federal Court to Multi-Million… [read post]
25 Sep 2012, 9:06 am
Yesterday, FINRA announced today that it andquot;censuredandquot; and fined Merrill Lynch, Pierce, Fenner andamp; Smith Inc. $500,000 for supervisory failures that allowed widespread deficiencies in filing hundreds of required reports, including customer complaints, arbitration claims, and related U4 and U5 filings, and for its failure to file the required reports. [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]
28 Jun 2016, 1:37 pm
Daley was employed and registered from October 2007 to June 2016 with Merrill Lynch, Pierce, Fenner & Smith, Inc., a Garden City, New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [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]
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]
13 Dec 2010, 7:04 am
Court of Appeals for the Second Circuit affirmed a district court’s ruling denying the motion of plaintiffs-appellants (collectively “LSED”) to compel arbitration of a dispute with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
25 Aug 2011, 9:10 am
Respondent Merrill Lynch Pierce Fenner andamp; Smith, Inc., was represented by William E. [read post]
22 Dec 2010, 10:52 am
Merrill Lynch Pierce Fenner & Smith Inc. [read post]
29 Apr 2013, 6:33 am
In the Matter of Akber Syed, Respondent (AWC 2012033122901, April 24, 2013).Non-Registered, Associated PersonSyed entered the securities industry in 2010 as an associated, non-registered person, and on November 1, 2010, he was employed by Merrill, Lynch, Pierce, Fenner & Smith, Inc. until his June 13, 2012, termination. [read post]
20 Aug 2018, 12:51 pm
(CRD #16361), also of Clearwater, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of New York, NY. [read post]
30 Mar 2012, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 10-1000-GPM, 2010 WL 5463243 (S.D. [read post]
4 Apr 2018, 7:33 am
Barry Jones Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
13 Sep 2018, 9:16 am
(CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, LLC (CRD #19616), both of Austin, TX. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [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]
