Search for: "Merrill Lynch, Pierce, Fenner "
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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]
16 Feb 2019, 1:34 pm
., Littleton, Colorado— February 15, 2008 to June 17, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated, Englewood, Colorado— December 6, 2002 to February 22, 2008 Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated. [read post]
7 Feb 2019, 11:39 am
According to Dembla’s FINRA BrokerCheck report, he was registered with Merrill Lynch, Pierce, Fenner & Smith in Chicago, Illinois from March 2001 until he was reportedly discharged in September 2016 due to “Conduct including circumventing Firm limitations on the accumulation of mutual fund shares in customer accounts resulting in a loss of management’s confidence. [read post]
5 Feb 2019, 2:26 pm
Merrill Lynch Pierce Fenner & Smith Inc., FINRA Office of Dispute Resolution Case No.: 18-00845. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP… [read post]
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 JP… [read post]
22 Jan 2019, 1:08 pm
Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
16 Jan 2019, 12:48 pm
Shakela Yashika Carter (CRD #4321231) is a former registered broker and investment advisor who was last employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Fort Lauderdale, FL. [read post]
11 Jan 2019, 9:55 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to Jan 2009. [read post]
11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
9 Jan 2019, 7:25 am
In March 2011, Muran was terminated by Merrill Lynch Pierce, Fenner and Smith, Inc. [read post]
3 Jan 2019, 5:54 am
Baird & Co, Inc Schreiner, Phillip Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith, Inc Sterr, Margaret M Holdings Securities, Inc Catalyst Solutions Group Suhar, Charles The Huntington Investment Company LPL Financial LLC Swords, Zachary Farmers Financial Solutions, LLC Valenzuela, Francisco Morgan Stanley Merrill Lynch,… [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce,… [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]
24 Dec 2018, 7:31 am
Paul Murans has also worked for UBS Financial Services Inc. in Indianapolis, Indiana from March 11, 2011 until November 6, 2017 and also was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Indianapolis, Indiana from April 11, 2003 until March 28, 2011, FINRA states. [read post]