Search for: "MERRILL LYNCH PIERCE FENNER & SMITH, INC."
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15 Jun 2018, 7:23 am
The post Merrill Lynch, Pierce, Fenner & Smith Inc. to pay $15 Million appeared first on White Securities Law. [read post]
10 Jul 2017, 12:59 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated was formerly known as Merrill Lynch Pierce Fenner & Smith, Inc. [read post]
20 Oct 2021, 7:03 am
Bartman opened in 2016 with Merrill Lynch, Pierce, Fenner & Smith, ... [read post]
11 Mar 2009, 1:44 pm
The SEC charged Merrill Lynch, Pierce, Fenner & Smith Inc. with securities laws violations for having inadequate policies and procedures for controlling access to institutional customer order flow. [read post]
9 Jun 2014, 9:28 am
The opinion of the Massachusetts Appeals Court begins: The plaintiffs appeal from the denial of their motion for sanctions against Bingham McCutchen LLP (Bingham), intervener, the law firm that defended Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
22 Jun 2012, 7:48 am
The Financial Industry Regulatory Authority ("FINRA") announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
18 Feb 2009, 3:14 pm
Merrill Lynch, Pierce, Fenner & Smith Inc has reached a $1 million settlement agreement with the Securities and Exchange Commission over charges that the broker-dealer misled its pension consulting clients by neglecting to disclose conflicts of interest. [read post]
11 Feb 2009, 8:15 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., Federal District Court Filings and Dockets, Justia Related Web Resources: TGS-NOPEC Geophysic Merrill Lynch Pierce Fenner & Smith Inc. [read post]
4 Oct 2011, 12:10 pm
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
21 Oct 2007, 11:50 am
The firms disciplined include: Merrill Lynch, Pierce, Fenner & Smith: Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period. [read post]
27 Aug 2018, 10:22 am
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
3 Oct 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
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]
26 Jan 2012, 6:54 am
The Financial Industry Regulatory Authority ("FINRA") has fined Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
31 May 2016, 7:03 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight… [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
21 Jun 2018, 8:26 am
SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith Inc. with misleading customers about how it handled their orders. [read post]
25 May 2012, 8:42 am
Merrill Lynch Pierce Fenner & Smith Inc., Respondent. [read post]
28 Jun 2018, 2:11 pm
His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. [read post]
