Search for: "Pierce, Fenner & Smith Incorporated"
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26 Sep 2017, 7:06 am
Kai entered the industry in 1991 and worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated until 1995. [read post]
3 Sep 2020, 8:21 am
Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Scott McVicker Market Wise Securities, inc. [read post]
20 Jan 2017, 10:17 am
From March 2006 through May 2009 Schmidhammer was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
30 Dec 2022, 7:14 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Alexandra Smith J.P. [read post]
28 Jan 2020, 7:21 am
Hutton & Company (CRD#: 235), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), and Oppenheimer & Co. [read post]
5 Sep 2017, 12:27 pm
From 1993 to 2000, Camarco was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
22 Mar 2019, 8:55 am
The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).ADRs – U.S. securities that represent foreign shares of a foreign company – require a corresponding number of foreign shares to be held in custody at a depositary bank. [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]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip JP… [read post]
11 Apr 2021, 9:05 am
According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
14 Oct 2014, 6:29 am
Pierce, Fenner & Smith Incorporated (Merrill Lynch). [read post]
19 May 2017, 8:59 am
Immediately prior to that, he was with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2000 through February 2017. [read post]
31 Mar 2020, 6:13 am
Prithviraj Dhandapani LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Davrion Hemphill Fernando Landicho Transamerica Financial Advisors,Inc. [read post]
15 May 2018, 1:21 pm
Previously, Camarco was employed at LPL Financial LLC from 2004 to 2017, Morgan Stanley DW Inc. from 2000 to 2004, and Merrill Lynch Pierce, Fenner & Smith Incorporated from 1993 to 2000. [read post]
28 Jun 2015, 8:37 am
From October 2009, through April 2015, Yzaguirre has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) out of their Ontario, California branch. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Jun 2016, 2:17 pm
See Merrill Lynch Pierce Fenner & Smith Incorporated v. [read post]
