Search for: "RAYMOND LYNCH"
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8 Nov 2019, 12:19 pm
Merrill Lynch & Raymond James Sanctioned for Alleged 529 Plan Violations According to the Financial Industry Regulatory Authority (FINRA), Merrill Lynch, Raymond James & Associates and Raymond James Financial Services have reportedly agreed to pay a combined $12 million in restitution to customers for alleged 529 savings plan violations. [read post]
24 Oct 2008, 11:07 am
Raymond James snags high-earning Merrill team: "A veteran Michigan-based brokerage team at Merrill Lynch & Co. [read post]
15 Jul 2016, 2:31 pm
Amalfitano moved to Raymond James after stints at Citigroup and Merrill Lynch. [read post]
19 Nov 2015, 5:00 am
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
3 Aug 2009, 9:38 am
Citigroup did it, followed by Morgan Stanley, UBS, Merrill Lynch, Wachovia, Bank of America (BofA) and, most recently, Morgan Keegan and Ameritrade. [read post]
1 Mar 2022, 6:14 pm
And Nate Raymond of Reuters reports that “1st Circuit’s first woman judge to retire from active service. [read post]
28 Jul 2022, 8:35 am
Lynch and Nate Raymond of Reuters have this report. [read post]
2 Apr 2024, 6:44 pm
Lynch and Nate Raymond of Reuters have this report. [read post]
14 Nov 2008, 10:19 am
High Court (Chancery Division) Raymond Saul & Co. [read post]
14 Jan 2012, 8:52 am
This will rank it third behind Morgan Stanley Smith Barney and just under Bank of America Corp.'s (BAC) Merrill Lynch. [read post]
8 Mar 2016, 1:16 pm
Judge Raymond Lohier has flown under the radar in predictions about the next Justice. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share… [read post]
6 Jun 2020, 6:20 am
It would be a disgrace for the Congress of the United States to declare that a bruise is lynching, that an abrasion is lynching, that any injury to the body, no matter how temporary, is on par with the atrocities done to people like Emmett Till, Raymond Gunn, and Sam Hose, who were killed for no reason, but because they were black. [read post]
24 Dec 2019, 8:12 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. [read post]
23 Aug 2012, 7:09 pm
Merrill Lynch & Co. [read post]
13 Oct 2016, 6:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In 2015, wirehouse firms such as UBS Financial, Merrill Lynch, Wells Fargo Advisors and Morgan Stanley, incurred a net loss of 312 reps. [read post]
30 Nov 2011, 4:52 pm
Upon the market's decline beginning 2007, Merrill Lynch and other large broker-dealers started letting auction-rate securities auctions fail. [read post]
31 May 2007, 9:45 am
Merrill Lynch retained a much smaller number of brokers than expected it bought Advest in December 2005. [read post]
14 Jul 2011, 8:43 pm
Read the details of the FINRA dispute resolution, Wall Street Journal (PDF) New York Uniform Commercial Code, Justia Merrill Lynch Professional Clearing Hit With $64 Million FINRA Arbitration Award, Forbes, July 6, 2011 More Blog Posts: Raymond James Must Pay $925,000 Over Auction-Rate Securities Dispute, Institutional Investor Securities Blog, September 1, 2010 Fisher Investments Inc. [read post]
19 Feb 2021, 11:25 am
(CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. [read post]
