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15 Mar 2021, 7:13 am
Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. [read post]
12 Mar 2021, 3:43 pm
Kowalski, former Merrill Lynch financial advisors. [read post]
9 Mar 2021, 12:41 pm
Spotts, who cofounded Prophecy Asset Management in 2001 after spending 12 years at Merrill Lynch, declined to comment to IBJ. [read post]
8 Mar 2021, 12:37 pm
Jorge Guzman Pruco Securities, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Richard Ramos Wells Fargo Clearing Services LLC Curtis Smiley Primex Sandlapper Securities, LLC David Stateman Allstate Financial Services, LLC AXA Advisors, LLC Dwight Sulc B.B. [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]
2 Mar 2021, 1:59 pm
Did You Experience Investment Losses With Ryan Raskin at Merrill Lynch? [read post]
19 Feb 2021, 11:25 am
Tyler Delahunt Discharged By Merrill Lynch For “Selling Away” According to Delahunt’s CRD Report, published online by FINRA, Merrill Lynch discharged Delahunt in August 2020. [read post]
19 Feb 2021, 7:56 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Jason Anderson Merrill Lynch, Pierce, Fenner & Smith Incorporated LPL Financial LLC Solomon Apprey Pruco Securities, LLC AXA Advisors, LLC Harry Lum, Jr. [read post]
10 Feb 2021, 3:44 am
"Applicant confuses Merrill Lynch’s 'mixture of usages'—which referred to a mixture of consumer recognition of the term as used by the applicant and as a generic reference—with the use of a hyphen or addition of a space, which is not the type of mixed usage referred to in Merrill Lynch. [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]
3 Feb 2021, 10:18 am
The post FINRA Arbitrator favors Broker in claim against Merrill Lynch appeared first on The White Law Group. [read post]
28 Jan 2021, 6:13 am
The post Ex-Merrill Lynch Broker Tyler Delahunt Barred from Securities Industry appeared first on The White Law Group. [read post]
26 Jan 2021, 11:48 am
In July 2019 we reported Merrill Lynch paid a whopping $40 million settlement to a customer who alleged Kenahan churned his account. [read post]
26 Jan 2021, 8:49 am
Merrill Lynch terminated Mr. [read post]
25 Jan 2021, 6:17 pm
In 2019, Bank of America Merrill Lynch agreed to pay $40 million to settle with Robert Levine, co-founder of Cabletron Systems, over churning allegations. [read post]
22 Jan 2021, 12:05 pm
In 1995, Bibo was “allowed to resign” from his position at Merrill Lynch for failing to disclose a petty theft charge in 1987. [read post]
22 Jan 2021, 10:53 am
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5656/finra-merrill-lynch-expungement/Imagine the plight of an associated person, who is accused of the unauthorized opening of a bank account for a client. [read post]
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms… [read post]
19 Jan 2021, 8:06 am
Former Merrill Lynch Advisor Ryan Raskin Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Merrill Lynch advisor Ryan Raskin, after allegations of unsuitable investments. [read post]
