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28 Sep 2015, 8:59 am
FINRA’s investigation appears to stem from Highfill’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in May 2015. [read post]
21 Aug 2018, 5:17 am
Rawson Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Anteneh A. [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, 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]
8 Feb 2021, 10:35 am
It is important to note that from 2014 through 2017, Zito allegedly submitted four annual certifications to Merrill Lynch denying allegations of any offering recommendations or private securities transactions that were not offered through Merrill Lynch, the AWC notes. [read post]
8 Feb 2021, 10:35 am
It is important to note that from 2014 through 2017, Zito allegedly submitted four annual certifications to Merrill Lynch denying allegations of any offering recommendations or private securities transactions that were not offered through Merrill Lynch, the AWC notes. [read post]
23 Apr 2016, 10:51 am
In February 2015 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) discharged Reed for cause stating that the reason related to the broker’s handling of a customer complaint. [read post]
7 Nov 2008, 6:45 am
For example, in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
7 Jul 2010, 5:00 am
In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161 (Tex. [read post]
22 Jan 2016, 6:55 am
Since 2008 Boukamp has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated out of the firm’s Bloomfield Hills, Mississippi office location. [read post]
28 Apr 2016, 5:52 am
Since March 2006, Weber has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated out of the firm’s Tampa, Florida office location. [read post]
21 Sep 2011, 8:40 am
Merrill Lynch, Pierce, Fenner & Smith Inc., No. 05-CV-6583 (N.D. [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]
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]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 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 Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso … [read post]
25 Apr 2017, 2:06 pm
Kluge entered the securities industry in 1991 and remained with Merrill Lynch, Pierce, Fenner & Smith Inc. for the entirety of his career. [read post]
18 Mar 2007, 12:08 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 06-7067 (D.C. [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]
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]
4 Jun 2018, 6:26 am
Roberts Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N.A. [read post]
