Search for: "Pierce, Fenner & Smith Incorporated"
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3 Dec 2021, 1:29 pm
Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Arlington, TX, Banc Of America Investment Services, Inc. [read post]
7 Apr 2021, 1:43 am
Prior to this, he was in the employment of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a Lake Forest California based firm between June 2007 and February 2018. [read post]
25 Feb 2022, 8:19 am
(CRD#:877), GLENDALE, AZ 01/03/2003 – 05/04/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), SUN CITY, AZ When brokers violate securities laws, such as making unauthorized transactions or unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
19 Aug 2022, 7:33 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Ameriprise Financial Services, LLC Wells Fargo Clearing Services, LLC Kara Gagnon Global Atlanticv Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Igor Kislitsa PFS Investments Inc. [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
28 Apr 2022, 8:28 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
8 Mar 2021, 12:19 pm
Aaron Pierett Merrill Lynch, Pierce, Fenner & Smith Incorporated Wells Fargo Clearing Services, LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
6 Dec 2021, 9:58 am
Scarlett Ramsey NYLife Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Timothy Williams Edward Jones For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
31 Dec 2010, 8:41 pm
Ernesto Zuniga Gomez, previously with Merill Lynch, Pierce, Fenner & Smith Incorporated in San Diego, CA, was named as a respondent in a FINRA complaint alleging that he created Verbal Authorization Forms (VAFs) that falsely represented that clients had given him verbal authorization to transfer client funds from their account to other client accounts, thereby misusing customer funds. [read post]
11 Feb 2022, 8:25 am
According to his FINRA BrokerCheck profile, Darryl Cohen was affiliated with the following firms, during his career in the securities industry: 06/05/2015 – 04/08/2021, MORGAN STANLEY (CRD#:149777), WESTLAKE VILLAGE, CA, 05/16/2003 – 06/08/2015, WELLS FARGO ADVISORS, LLC (CRD#:19616), WESTLAKE VILLAGE, CA 02/28/1997 – 05/05/2003, MERRILL LYNCH, PIERCE, FENNER & SMITH… [read post]
26 Jan 2024, 8:27 am
(CRD#:7059), EL PASO, TXB, 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Failure to Supervise FINRA Rule 3110 specifically outlines the supervisory obligations of broker-dealers. [read post]
11 Jun 2019, 9:29 am
From October 2011 until June 2014 Kinsman was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
13 Sep 2021, 12:39 pm
(CRD#:39543), FORT WORTH, TX 08/08/2008 – 02/11/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), ARLINGTON, TX 08/29/2007 – 08/11/2008, BANC OF AMERICA INVESTMENT SERVICES, INC. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roumayeh was employed by his prior employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) prior to being investigated concerning his activities. [read post]
22 Sep 2022, 8:41 am
Isaac Stewart Merrill Lynch, Pierce, Fenner & Smith Incorporated Gregory Williams Presidential Brokerage, Inc. [read post]
27 Dec 2021, 9:38 am
BB&T Securities, LLC Noe Ramirez III Merrill Lynch, Pierce, Fenner && Smith Incorporated Chase Investment Services Corp. [read post]
12 Jan 2012, 4:48 am
. - I remember slugging proof on a Merrill Lynch deal and being astonished at how fast their people could say "Merrill no com Lynch com Pierce com Fenner ampersand Smith no com Incorporated six up. [read post]
28 May 2021, 1:27 pm
Curtis Smiley Primex Sandlapper Securities, LLC Michael Swenson Merrill Lynch, Pierce, Fenner & Smith Incorporated Piper Jaffray & Co. [read post]
8 Nov 2021, 1:01 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Incorporated Bradley Holts World Capital Brokerage, Inc. [read post]
23 Jun 2020, 6:19 am
From September 2011 through March 2014 Ayre was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]