Search for: "MERRILL LYNCH, PIERCE, FENNER & SMITH, INC."
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1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
20 Mar 2014, 9:54 am
Merrill Lynch Pierce Fenner & Smith Inc.; Merrill Lynch Trust Co. [read post]
6 Mar 2014, 11:11 am
Merrill Lynch Pierce Fenner & Smith Inc.; Merrill Lynch Trust Co. [read post]
6 Mar 2014, 10:03 am
The Court’s decision in Chadbourne would appear to limit SLUSA to cases where plaintiffs allegedly purchased, sold or held (see Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
23 Jan 2014, 10:39 am
Weatherford International Ltd.Case number: 13-cv-03500 (United States District Court for the Southern District of Texas)Case filed: November 26, 2013Qualifying Judgment/Order: December 19, 2013 01/17/2014 04/17/2014 2013-123 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.Administrative Proceeding File No. [read post]
23 Jan 2014, 10:39 am
Weatherford International Ltd.Case number: 13-cv-03500 (United States District Court for the Southern District of Texas)Case filed: November 26, 2013Qualifying Judgment/Order: December 19, 2013 01/17/2014 04/17/2014 2013-123 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.Administrative Proceeding File No. [read post]
15 Jan 2014, 6:21 am
The Securities and Exchange Commission (SEC) instituted administrative proceedings against broker Ronald Gene Anglin (Anglin), formerly of Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
27 Dec 2013, 12:14 pm
Anglin was formerly a registered representative and investment adviser representative for Merrill Lynch, Pierce, Fenner & Smith Inc. from September 2008 to May 2011. [read post]
21 Nov 2013, 8:02 am
It is also possible that Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
17 Oct 2013, 10:03 am
See In re Kellogg Brown & Root, Inc., 166 S.W.3d at 739–40; In re Merrill Lynch, Pierce, Fenner & Smith, Inc., 195 S.W.3d at 816. [read post]
19 Sep 2013, 12:04 pm
The underwriters for the PABs are JP Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Estrada Hinojosa & Company, Inc. [read post]
13 Sep 2013, 2:27 pm
Merril Lynch, 13 CV 1531, Judge Baer rejected motions to compel arbitration filed by Merrill Lynch, Pierce, Fenner & Smith, Inc; and Bank of America Corporation. [read post]
5 Sep 2013, 6:00 am
After Banc of America, Ergun was associated with Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
28 Aug 2013, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482, 491-92 (7th Cir.2012), distinguishing Wal-Mart Stores, Inc. v. [read post]
9 Aug 2013, 8:34 am
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC (BAS). [read post]
15 Jul 2013, 3:40 am
Following In re Merrill Lynch, Pierce, Fenner, and Smith Inc., 4 USPQ2d 1141, 1144 (Fed. [read post]
18 Jun 2013, 8:30 am
In the Matter of the FINRA Arbitration Between Gregory Kiernan, Claimant, vs Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent (FINRA Arbitration 12-02362, June 14, 2013 )Respondent Merrill Lynch generally denied the allegations and asserted various affirmative defenses.The FINRA Arbitration Panel found Respondent Me... [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]
29 Apr 2013, 6:33 am
In the Matter of Akber Syed, Respondent (AWC 2012033122901, April 24, 2013).Non-Registered, Associated PersonSyed entered the securities industry in 2010 as an associated, non-registered person, and on November 1, 2010, he was employed by Merrill, Lynch, Pierce, Fenner & Smith, Inc. until his June 13, 2012, termination. [read post]
16 Apr 2013, 1:28 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain customer transactions involving non-convertible preferred securities executed on one of its proprietary order management systems (ML BondMarket), and for failing to... [read post]
