Search for: "Pierce, Fenner & Smith Incorporated" Results 221 - 240 of 258
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12 Aug 2015, 9:08 am by Adam Weinstein
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
11 Aug 2015, 5:59 am by Mary Jane Wilmoth
David StevensonCase Number: 15-cv-03528 (United States District Court for the District of New Jersey)Case Filed: May 26, 2015Qualifying Judgment/Order: May 29, 2015 6/30/15 9/28/15 2015-63 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015 6/30/15 9/28/15 2015-62 SEC v. [read post]
31 Jul 2015, 5:33 am by Adam Weinstein
From 1995, until September 2008, Smith was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch). [read post]
28 Jul 2015, 8:18 am by Adam Weinstein
Our firm has been tracking the developments related to Thomas Buck’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under highly unusual circumstances. [read post]
24 Jul 2015, 6:01 am by Adam Weinstein
As we previously reported, (See Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstances) news sources have been investigating the termination of financial advisor Thomas Buck (Buck) and his daughter Ann Buck by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under circumstances that some would consider unusual. [read post]
28 Jun 2015, 8:37 am by Adam Weinstein
From October 2009, through April 2015, Yzaguirre has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) out of their Ontario, California branch. [read post]
4 Jun 2015, 12:05 pm by John Jascob
By Jacquelyn LumbThe SEC’s Division of Corporation Finance has determined that Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation have made a showing of good cause for why it is not necessary to deny their reliance on Rule 506 of Regulation D based on their violation of Regulation SHO. [read post]
31 May 2015, 7:24 am by Adam Weinstein
McGrath entered the securities industry in 1984 with brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
25 Apr 2015, 4:21 am
., Civil Action No. 1:10-CV-01277 Notice of Covered Action 2011-33In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File No. 3-14204 Notice of Covered Action 2011-101In the Matter of Navistar International Corporation, Daniel C. [read post]
22 Apr 2015, 7:12 am by Adam Weinstein
According to news sources, Thomas Buck (Buck) and his daughter Ann Buck, were recently terminated by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under unusual circumstances. [read post]
10 Mar 2015, 6:48 am by Adam Weinstein
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
7 Jan 2015, 7:00 am by Mary Jane Wilmoth
Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLCCase number: 13-cv-00447 (United States District Court for the Western District of North Carolina)Case filed: August 6, 2013Qualifying judgment/order: November 25, 2014 12/22/2014 3/22/2015 [read post]
3 Dec 2014, 3:33 pm by John Jascob
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) (successor by merger to Banc of America Securities LLC (BAS)) (collectively, the respondents) are wholly-owned subsidiaries of Bank of America Corporation (BAC) that entered into a settlement with the SEC in connection with the with allegations made in a complaint that the SEC filed on August 6, 2013, in federal district court. [read post]
1 May 2014, 6:40 am by D. Daxton White
  As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
17 Oct 2013, 10:03 am by Beth Graham
See In re Kellogg Brown & Root, Inc., 166 S.W.3d at 739–40; In re Merrill Lynch, Pierce, Fenner & Smith, Inc., 195 S.W.3d at 816. [read post]
19 Sep 2013, 12:04 pm by Patricia de la Peña
  The underwriters for the PABs are JP Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Estrada Hinojosa & Company, Inc. [read post]
4 Jun 2013, 7:48 am by D. Daxton White
 FINRA also ordered Merrill Lynch, Pierce, Fenner & Smith Incorporated, as successor for Banc of America Investment Services, Inc., to pay a fine of $900,000 and to reimburse approximately $1.1 million in losses to 214 customers. [read post]
1 Aug 2012, 5:51 am by Mandelman
Kruszewski Chairman, President & Chief Executive Officer Stifel, Nicolaus & Company, Incorporated 2012 Board at Large Francois O. [read post]
16 May 2012, 6:28 pm by Jay Eng
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]