Search for: "Raymond Merrill"
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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]
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]
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]
30 Nov 2011, 4:52 pm
Affirms Merrill Off the Hook In Investor Suit Over ARS Disclosures, BNA, November 16, 2011 Read the full opinion (PDF) More Blog Posts: SEC and SIFMA Divided Over Whether Merrill Lynch Can Be Held Liable for Alleged ARS Market Manipulation, Institutional Investor Securities Blog, July 29, 2011 Raymond James Settles Auction-Rate Securities Case with Indiana Securities Division for $31M, Stockbroker Fraud Blog, August 27, 2011 District Court in Texas Decides that Credit… [read post]
23 Aug 2012, 7:09 pm
Merrill Lynch & Co. [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]
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]
22 Jun 2009, 7:34 pm
Susan Merrill, the FINRA enforcement chief, says the two firms exposed the market to an individual that was non-registered, unqualified, unsupervised, and was not allowed to work in the securities industry. [read post]
24 Dec 2019, 8:12 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. [read post]
1 Sep 2017, 7:28 am
Civil litigation — Expert testimony — Deference to trial judge During Raymond and Julie Howar’s marriage, Ms. [read post]
30 Mar 2011, 1:43 am
Nate Raymond's March 29, 2011 Am Law Litigation Daily article about Judge Rakoff's decision can be found here. [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]
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]
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]
2 Nov 2009, 9:23 am
An interesting criminal trial has cranked up down in Texas, one pitting state prosecutors against Raymond Merril Jessop (pictured), a man affiliated with a polygamist group known as FDLS, or the Fundamentalist Church of Jesus Christ of Latter-day Saints. [read post]
19 Feb 2021, 11:25 am
(CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. [read post]
23 Nov 2010, 7:56 am
Allison was a former top executive with Merrill Lynch Canada. [read post]
5 Jul 2007, 10:20 am
The number of fines levied against broker-dealers is about to increase with the abolition of the "Merrill" Rule. [read post]
