Search for: "Merrill, Lynch, Pierce, Fenner "
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21 Aug 2018, 5:17 am
Rawson Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Anteneh A. [read post]
20 Aug 2018, 12:51 pm
(CRD #16361), also of Clearwater, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of New York, NY. [read post]
10 Aug 2018, 11:07 am
Broker Charles Ernest Kenahan (CRD #1351974) is a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Boston, MA, registered since 12/7/2007. [read post]
3 Aug 2018, 9:03 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities Exchange Commission (“SEC”), as well as Merrill Lynch International Finance, Inc. [read post]
2 Aug 2018, 12:55 pm
From December 1991 to April 2008, Stucker was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
31 Jul 2018, 12:37 pm
Anteneh Roberts (CRD #6414549) is a former registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ann Arbor, MI, from 05/15/2015 through 08/10/2017. [read post]
26 Jul 2018, 11:40 am
From February 2012 to August 2017, Hayes was registered with Merrill Lynch, Pierce, Fenner & Smith, Incorporated. [read post]
17 Jul 2018, 9:33 am
SEC Shuts Down $102 Million Ponzi SchemeThe SEC filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the U.S.Merrill Lynch Admits to Misleading Customers about Trading VenuesMerrill Lynch, Pierce, Fenner & Smith has been charged with misleading customers about how it handled their orders. [read post]
16 Jul 2018, 7:32 am
In 2008, Reynolds was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
14 Jul 2018, 6:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 756 F.2d 230 (2d Cir. 1985) that says that “an instrument can be part of an investment contract that is a security,” regardless of the nature of the instrument itself. [read post]
13 Jul 2018, 7:17 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in March 2016, James was discharged by his firm, Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) based on allegations that James was engaging in outside business activities, private investments, and borrowing money from clients without disclosing the activities to the firm. [read post]
11 Jul 2018, 2:13 pm
In May 2014, Destefano resigned from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) due to customer allegations of unauthorized trading and recommending securities to customers that weren’t approved by the firm. [read post]
9 Jul 2018, 12:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Michael P. [read post]
6 Jul 2018, 11:46 am
From March 2006 to July 2007, Meyers was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
28 Jun 2018, 2:11 pm
His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. [read post]
25 Jun 2018, 5:21 am
SEC Charges Merrill Lynch for Failure to Supervise RMBS TradersMerrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges that its employees misled customers into overpaying for Residential Mortgage Backed Securities (RMBS). [read post]
22 Jun 2018, 2:31 pm
Merrill Lynch Pierce, Fenner and Smith Incorporated is a FINRA registered brokerage firm and investment advisor with 1559 total disclosures according to (CRD #7691) records on BrokerCheck. [read post]
22 Jun 2018, 2:31 pm
Merrill Lynch Pierce, Fenner and Smith Incorporated is a FINRA registered brokerage firm and investment advisor with 1559 total disclosures according to (CRD #7691) records on BrokerCheck. [read post]
21 Jun 2018, 8:26 am
SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith Inc. with misleading customers about how it handled their orders. [read post]
18 Jun 2018, 2:02 pm
On June 12, 2018, the United States Securities and Exchange Commission (“SEC“) issued an Order instituting administrative proceedings, making findings, and imposing remedial sanctions against Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch“), a subsidiary of Bank of America Corporation, pursuant to Section 15(b) of the Securities Exchange Act of 1934. [read post]
