Search for: "Merrill Lynch, Pierce, Fenner & Smith"
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31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [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]
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]
20 Oct 2021, 7:03 am
Bartman opened in 2016 with Merrill Lynch, Pierce, Fenner & Smith, ... [read post]
7 Aug 2017, 9:16 am
The post Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined and Censured appeared first on White Securities Law. [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]
3 Jan 2021, 12:14 pm
Former Kentucky-Based Merrill Lynch Broker Gets Eight Years in Prison Christopher Lee Hibbard, a former stockbroker for Merrill Lynch and Pierce, Fenner & Smith is sentenced to eight years in prison. [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]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
26 Jan 2012, 9:00 am
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [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]
25 Jan 2012, 1:47 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
17 May 2016, 7:47 am
Yesterday, the Supreme Court issued a unanimous decision in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
14 Jan 2021, 7:15 am
Ryan Raskin was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) in Beverly Hills, California, from May 2016 until May 2020. [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]
26 Jan 2021, 8:49 am
Tyler Delahunt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) in Atlanta, Georgia, from October 2016 until August 2020. [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]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
