Search for: "MERRILL LYNCH PIERCE FENNER AND SMITH"
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29 Feb 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., ___ F.3d ___ (7th Cir. [read post]
17 Jul 2014, 7:18 am
On June 16, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for charging excessive fees relating to the sales of mutual funds in retirement accounts. [read post]
10 Mar 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
4 Jun 2015, 12:05 pm
By Jacquelyn LumbThe SEC’s Division of Corporation Finance has determined that Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation have made a showing of good cause for why it is not necessary to deny their reliance on Rule 506 of Regulation D based on their violation of Regulation SHO. [read post]
9 Sep 2014, 6:55 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker George Zaki (Zaki) concerning allegations that between June 2010, and August 2012, Zaki implemented and/or executed approximately 3,600 discretionary trades in the accounts of approximately 80 Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
29 Dec 2020, 7:40 am
Forrest Jones (Forrest Andrew Jones CRD:# 4880765) is a former registered broker and investment advisor whose last known employer was Merrill, Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Conroe, TX. [read post]
22 Sep 2009, 2:26 pm
Following a Texas securities fraud claim that Bank of America's Merrill Lynch, Pierce, Fenner & Smith Inc. allowed unregistered sales persons to sell securities, the Bank of America unit has agreed to pay $26.5 million as part of a national settlement over the allegations. [read post]
13 Dec 2023, 1:49 pm
William King (William Worthen King CRD# 1432593, aka “Bill King”) is a previously registered broker and investment advisor who spent his entire 37-year career at Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Vero Beach, FL beginning in 1985. [read post]
18 Sep 2016, 6:19 am
The investment attorneys of Gana LLP have brought a claim on behalf of an investor who suffered substantial losses due to investment recommendations made by his Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) advisor, Craig Kinard (Kinard) a proprietary Merrill Lynch fund called the MLCXX6LSER Index (MLC Index). [read post]
21 Sep 2009, 7:20 am
Texas will receive $1.6 million in the settlement with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
7 Jul 2009, 10:31 am
The New York Attorney General announced Assurances of Discontinuance with Credit Suisse Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated relating to the auction rate securities settlements reached last summer. [read post]
1 Dec 2015, 6:34 pm
Supreme Court oral argument in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
Merrill Lynch v. Manning: SCOTUS to Decide Scope of Federal Jurisdiction in Certain Securities Cases
15 Dec 2015, 6:00 am
On December 1, 2015, the Supreme Court heard argument in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
24 Dec 2019, 8:12 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. [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]
22 Mar 2019, 6:09 am
Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs (SEC Release)https://www.sec.gov/news/press-release/2019-40Without admitting or denying the findings in an SEC Order Instituting Proceedings https://www.sec.gov/litigation/admin/2019/34-85395.pdf, Merrill Lynch, Pierce, Fenner & Smith Incorporated will agreed to pay more than $4.4 million in disgorgement of ill-gotten gains, over $724,000 in prejudgment… [read post]
2 Mar 2012, 2:15 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639 (7th Cir., Feb. 24, 2012), which was the subject of Wednesday’s CAB post, here’s a link to an insightful executive alert on the decision, which was authored by colleagues in Baker Hostler’s New York office, partner Deborah Renner and associate Matthew Moody. [read post]
19 Feb 2015, 12:14 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
22 Dec 2015, 8:38 am
A recent FINRA regulatory settlement results in the fining and suspending of a dubiously incentivized former Merrill Lynch, Pierce, Fenner & Smith registered representative, who, it seems, was also dually employed at the member firm's affiliated bank. [read post]
