Search for: "Merrill Lynch, Pierce, Fenner "
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11 Jun 2019, 9:29 am
From October 2011 until June 2014 Kinsman was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
5 Jun 2019, 6:33 am
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]
29 May 2019, 8:37 am
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]
23 May 2019, 1:39 pm
(CRD#:8174) of Palm Beach, FL, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of West Palm Beach, FL, and Morgan Stanley DW Inc. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities Concorde Investment… [read post]
20 May 2019, 9:11 am
Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Chicago, IL, from 2/7/2006 through 12/18/2018. [read post]
19 May 2019, 1:05 pm
Cir. 2016); see In re Merrill Lynch, Pierce, Fenner, and Smith, Inc., 828 F.2d 1567, 1571 (Fed. [read post]
16 May 2019, 10:53 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. [read post]
30 Apr 2019, 1:28 pm
From June 1998 until June 2017 Leavitt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
29 Apr 2019, 12:55 pm
., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
26 Apr 2019, 4:00 am
When companies can "muffl[e] grievance[s] in the cloakroom of arbitration," Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Apr 2019, 11:59 am
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N.A. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, 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 Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton Strategic Investment Services… [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell &… [read post]
19 Apr 2019, 5:33 am
Insurance Agency Guillory, Michael Financial West Group The Shemano Group, Inc Hamm, Brandon Wells Fargo Clearing Services Hartigan, John Entrustpermal Securities LLC Calyon Financial Inc Jones, Marques Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Merlo, Robert Allstate Financial Services Pruco Securities Norris, Timothy BMO Harris… [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, 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 Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities, Inc Global Arena… [read post]
27 Mar 2019, 11:21 am
Merrill Lynch Sanctioned for Alleged ADR Violations According to a press announcement this week, Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay more than $8 million to settle SEC charges of infractions related to American Depositary Receipts (ADR), the U.S. securities representing foreign shares in foreign companies. [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]
22 Mar 2019, 6:09 am
Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs (SEC Release)https://www.sec.gov/news/press-release/2019-40Without admitting or denying the findings in an SEC Order Instituting Proceedings https://www.sec.gov/litigation/admin/2019/34-85395.pdf, Merrill Lynch, Pierce, Fenner & Smith Incorporated will agreed to pay more than $4.4 million in disgorgement of ill-gotten gains, over $724,000 in prejudgment… [read post]
19 Feb 2019, 2:04 pm
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Indianapolis, and UBS Painewebber Inc. [read post]
