Search for: "Pierce, Fenner & Smith Incorporated"
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16 May 2012, 6:28 pm
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]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [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]
13 Oct 2011, 3:47 pm
BAKER HUGHES INCORPORATED, Appellee On Appeal from the 270th District Court Harris County, Texas Trial Court Case No. 2011-25539 O P I N I O N Schlumberger Technology Corporation and Baker Hughes Incorporated are in the midst of an arbitration proceeding to resolve patent disputes. [read post]
3 Jun 2011, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
2 May 2011, 11:23 pm
Stuart Phillip Miller, formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, was suspended from association with any FINRA member for one year and fined $10,000 in connection with the joint solicitation and handling of customer accounts with another individual - where Miller and the individual created a model fund portfolio to present to potential customers and misrepresenting that they managed the portfolio. [read post]
28 Mar 2011, 7:06 am
Engagement of Merrill Lynch, Pierce, Fenner & Smith Incorporated As further discussed above (see "--Background of the Merger"), the Company retained BofA Merrill Lynch as one of its financial advisors in connection with the merger. [read post]
25 Jan 2011, 12:31 pm
The SEC today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated with misusing customer order information to place proprietary trades for the firm and for charging customers undisclosed trading fees. [read post]
20 Jan 2011, 11:00 am
The past year offered an interesting mix of positive and negative news as investors around the world eagerly anticipated signs of economic recovery and financial stabilization. [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]
13 Dec 2010, 7:04 am
Court of Appeals for the Second Circuit affirmed a district court’s ruling denying the motion of plaintiffs-appellants (collectively “LSED”) to compel arbitration of a dispute with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
22 Jul 2010, 1:52 pm
., Inc. and Merrill, Lynch, Pierce, Fenner; Smith Incorporated, __ S.W.3d __ (June 25, 2010 slip op.), the Texas Supreme Court conditionally granted mandamus relief in favor of Merrill Lynch, staying litigation against it by a non-signatory company when that company’s sister company that was a signatory to an arbitration agreement was also asserting identical claims that were potentially subject to a class action carve out from its arbitration agreement with… [read post]
18 Jun 2010, 10:26 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
7 Jul 2009, 10:31 am
The New York Attorney General announced Assurances of Discontinuance with Credit Suisse Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated relating to the auction rate securities settlements reached last summer. [read post]
25 Jul 2008, 7:17 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
16 Jul 2008, 9:25 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
