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16 Feb 2022, 4:46 pm
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
11 Jul 2018, 2:13 pm
From May 2005 to June 2006, Destefano was registered with Morgan Stanley DW Inc. [read post]
2 Jan 2018, 6:58 am
Previous registrations include Citigroup Global Markets Inc., Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, F&G Securities, Inc., and Diones & Company. [read post]
25 May 2012, 11:08 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
15 Jan 2019, 2:41 pm
He was discharged by Securities America, Inc. on February 4, 2015, for alleged failure to follow firm policies, and also voluntarily resigned from Merrill Lynch, Peirce, Fenner & Smith Inc. after the firm alleged on May 19, 2014 that Destefano allegedly was involved in potentially mis-marking order tickets, FINRA reports. [read post]
21 Nov 2013, 8:02 am
It is also possible that Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
21 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [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]
28 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
28 Sep 2022, 12:37 pm
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
16 Jul 2008, 9:25 pm
Morgan Securities, Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
8 Nov 2021, 1:01 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Incorporated Bradley Holts World Capital Brokerage, Inc. [read post]
17 Oct 2015, 6:56 am
From August 2010, until April 2012, Baudendistel was associated with Paulson Investment Company, Inc. [read post]
26 Oct 2009, 1:37 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., supra, 68 Cal.App.4th at p. 459.)In re Baycol Cases I & II, 2009 Cal. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc Sterne Agee & Leach Stifel Nicolaus &… [read post]
28 Jun 2012, 9:47 pm
A June 21st announcement by the Financial Industry Regulatory Authority (FINRA) stated that the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
15 Nov 2017, 6:21 pm
Thereafter, from 2000 to 2004, Camarco became registered with Morgan Stanley DW Inc. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co … [read post]
4 Jun 2013, 7:48 am
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]
2 Aug 2018, 12:55 pm
From April 2008 to May 2017, Stucker was registered with UBS Financial Services Inc. [read post]
