Search for: "MERRILL LYNCH, PIERCE , FENNER & SMITH, INC."
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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… [read post]
14 Oct 2014, 6:29 am
Pierce, Fenner & Smith Incorporated (Merrill Lynch). [read post]
27 Aug 2014, 6:41 am
First Community Bank had purchased asset-backed securities primarily in the form of collateralized debt obligations (CDOs) and residential mortgage-backed securities (RMBSs) from a number of entities including First Tennessee Bank, Morgan Keegan & Company, Merrill Lynch, Pierce, Fenner & Smith, Inc., Bear Stearns & Company and Sun Trust Robinson Humphrey, Inc. and Keefe, Bruyette & Woods, Inc. [read post]
30 Jan 2013, 11:36 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012), somehow resuscitated their claims. [read post]
8 May 2018, 8:55 am
Carlos Antonio Rodriquez UBS Financial Services Inc Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc LaVolpe, Michael Meyers Associates, LP … [read post]
26 Jun 2007, 4:58 pm
Merrill Lynch Pierce Fenner & Smith Inc.. [read post]
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]
5 Sep 2017, 12:27 pm
From 1993 to 2000, Camarco was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
18 May 2016, 9:59 am
Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
18 Apr 2011, 7:16 pm
---Krause v Merrill Lynch, Pierce, Fenner, & Smith, Inc, SDNY: Merrill Lynch could not be held liable under Title VII after an employee was allegedly sexually assaulted by a coworker off premises at a nonwork-related off-duty event that she attended. [read post]
8 Nov 2015, 5:40 pm
See, e.g., footnote 182 (citing Merrill Lynch, Pierce Fenner & Smith, Inc. v. [read post]
25 Jan 2018, 6:53 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
11 Apr 2007, 11:00 am
Defendants in the petition include Credit Suisse First Boston LLC, Pershing LLC, Merrill Lynch Pierce Fenner & Smith Inc., Credit Suisse First Boston (USA) Inc., Merrill Lynch & Co., Barclays Capital Inc., Barclays Bank PLC, and Barclays PLC. [read post]
28 Dec 2018, 9:31 am
Christopher Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Boca Raton, Florida from September 21, 2016 until October 16, 2018, FINRA notes. [read post]
20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner &… [read post]
23 Jan 2014, 10:39 am
Weatherford International Ltd.Case number: 13-cv-03500 (United States District Court for the Southern District of Texas)Case filed: November 26, 2013Qualifying Judgment/Order: December 19, 2013 01/17/2014 04/17/2014 2013-123 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.Administrative Proceeding File No. [read post]
6 Nov 2008, 6:31 am
(Smith Barney), Merrill Lynch, Pierce Fenner & Smith Inc. and UBS Financial Services, Inc. entered into the Protocol for Broker Recruiting ("Protocol") in 2004. [read post]
18 Jun 2007, 11:49 pm
Inc.; Goldman, Sachs & Co.; The Goldman Sachs Group Inc.; Janus Capital Management LLC; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Inc.; Morgan Stanley & Co. [read post]
26 Nov 2019, 7:12 am
Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Shotz, Richard Wells Fargo Clearing Services Morgan Stanley Vaccaro, Anthony Jr. [read post]
