Search for: "Pierce, Fenner & Smith Incorporated" Results 1 - 20 of 257
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31 Mar 2020, 12:38 pm by Blum Law Group
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
7 Aug 2017, 9:16 am by Renae Lloyd
        The post Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined and Censured appeared first on White Securities Law. [read post]
10 Jul 2017, 12:59 pm by Renae Lloyd
Merrill Lynch, Pierce, Fenner & Smith Incorporated was formerly known as 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]
29 May 2019, 8:37 am by Silver Law Group
Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. [read post]
2 Oct 2021, 7:52 am
Beverlywood Man Pleads Guilty to Securities Fraud, Admitting Massive Ponzi that Falsely Claimed to License Foreign Film Rights (DOJ Release)Kansas Man Sentenced to Three Years in Prison for Engaging in $900,000 Foreign Currency Ponzi Scheme (DOJ Release)FINRA Sanctions Merrill Lynch, Pierce, Fenner & Smith Incorporated for MSRB ViolationsIn the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated,… [read post]
25 Jan 2011, 12:31 pm by Securites Lawprof
The SEC today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated with misusing customer order information to place proprietary trades for the firm and for charging customers undisclosed trading fees. [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]
5 Jun 2019, 6:33 am by Staff Attorney
According to BrokerCheck records financial advisor Jeffrey Smith (Smith), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Smith) has been subject to at least eight customer complaints during the course of his career. [read post]
24 Dec 2019, 8:12 am by Silver Law Group
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. [read post]
11 Jul 2023, 9:11 am by Mark Astarita
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. [read post]
3 Apr 2023, 1:10 pm by Mark Astarita
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
16 May 2012, 6:28 pm by Jay Eng
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]
16 May 2012, 6:28 pm by Jay Eng
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]
7 May 2018, 1:16 pm by Silver Law Group
Craig Joseph Mardany (CRD#4356113), a currently registered FINRA broker and employed with Merrill, Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) of Newport Beach, CA. [read post]
10 Aug 2018, 11:07 am by Silver Law Group
Broker Charles Ernest Kenahan (CRD #1351974) is a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Boston, MA, registered since 12/7/2007. [read post]
18 Jun 2018, 2:02 pm by Paul Rugani
  On June 12, 2018, the United States Securities and Exchange Commission (“SEC“) issued an Order instituting administrative proceedings, making findings, and imposing remedial sanctions against Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch“), a subsidiary of Bank of America Corporation, pursuant to Section 15(b) of the Securities Exchange Act of 1934. [read post]
20 Aug 2018, 12:51 pm by Silver Law Group
(CRD #16361), also of Clearwater, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of New York, NY. [read post]
22 Jan 2019, 1:08 pm by Silver Law Group
Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. [read post]