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4 Apr 2022, 1:37 pm
Austin Sarat, Lawrence Douglas, and Martha Merrill Umphrey, eds., Law and the Visible (2021). [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Monmouth County Man Admits Orchestrating Multimillion-Dollar Accounts Receivable Factoring Scheme (DOJ Release)Colorado CEO and Fund Manager Admits to $11 Million Securities Fraud Scheme (SEC Release)Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for Fraudulent Forex and Digital Asset Scheme (CFTC Release)SEC Slaps Generic, Non-Specific… [read post]
3 Apr 2022, 9:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation CaseDong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6384/merrill-lynch-cma/Perhaps the last thing that Plaintiff in a federal lawsuit wants to hear from the judge is "I don't care. [read post]
18 Mar 2022, 8:52 am
Regulator inquires if Merrill Lynch, LPL Financial, and others are raising rates. [read post]
14 Mar 2022, 1:31 pm
Wall Street brokers such as UBS, Morgan Stanley and Merrill Lynch sold billions of dollars in complex “structured products or notes” to their retail customers in recent years. [read post]
10 Mar 2022, 6:21 pm
Credit…Hilary Swift for The New York Times Cheryl Juaire, who lost two sons, Corey and Sean Merrill, to opioid addiction. [read post]
7 Mar 2022, 6:42 pm
” He was referring to Merrill v. [read post]
7 Mar 2022, 7:24 am
LeBoeuf had begun conducting these transactions separate from his previous employment with Merrill Lynch. [read post]
7 Mar 2022, 7:13 am
However, for these inheriting advisors, the rules associated with the restrictive covenants, the non-solicitation clauses, and the timeframe to yield any return differ substantially at Merrill’s CTP program from those at Morgan Stanley’s FAP program, Wells Fargo Summit Program, and UBS’s Alpha Program. [read post]
2 Mar 2022, 3:20 pm
Merrill terminated 38-year Birmingham, Alabama based Advisor after settling a customer claim for $4.25 million, according to Advisor Hub and FINRA Brokercheck. [read post]
1 Mar 2022, 3:16 pm
FINRA warned Merrill in 2013 about problems with its monitoring of customer fund transfers, according to the settlement letter, as quoted in Advisor Hub and FINRA rulings. [read post]
1 Mar 2022, 9:45 am
According to his broker report, Elsoffer, was reportedly affiliated with the following firms during his career in the securities industry:11/21/2011 – 11/01/2018, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), PEPPER PIKE, OH, 03/16/1995 – 11/15/2011, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), PEPPER PIKE, OH Both registrations reportedly ended with termination after allegations, according to FINRA. [read post]
28 Feb 2022, 10:00 am
In Merrill v. [read post]
26 Feb 2022, 6:53 pm
A version of this post appeared previously on Professor Deborah Mayo’s blog, Error Statistics Philosophy. [read post]
25 Feb 2022, 8:19 am
(CRD#:877), GLENDALE, AZ 01/03/2003 – 05/04/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), SUN CITY, AZ When brokers violate securities laws, such as making unauthorized transactions or unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
22 Feb 2022, 1:58 pm
Morgan Securities LLC Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Forrest Jones Merrill Lynch, Pierce, Fenner & Smith Incorporated Fortune Financial Services, Inc. [read post]
22 Feb 2022, 12:09 pm
Christopher Ogbuehi Noe Ramirez III Merrill Lynch, Pierce, Fenner & Smith Incorporated Chase Investment Services Corp. [read post]
16 Feb 2022, 4:46 pm
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
14 Feb 2022, 4:00 am
Yet while Merrill v. [read post]
