Search for: "Merrill, Lynch, Pierce, Fenner "
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12 Jan 2018, 8:48 am
Merrill Lynch, Pierce, Fenner & Smith Inc Casey Thomas Rodriguez Arive Capital Markets Chelsea Financial Services David Edward Smith The Huntington Investment Company Clint Herrison Stoffels UBS Financial Services Inc. [read post]
10 Jan 2018, 4:40 pm
Worden Capital Management LLC Dawei Wang Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
5 Jan 2018, 12:26 pm
According to BrokerCheck records financial advisor James Lowther (Lowther), employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to two customer complaints. [read post]
2 Jan 2018, 6:58 am
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, F&G Securities, Inc., and Diones & Company. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
19 Dec 2017, 10:43 am
FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million. [read post]
15 Nov 2017, 6:21 pm
From 1993 to 2000, Camarco was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
9 Nov 2017, 1:40 pm
Buck was a registered financial advisor with Merrill Lynch, Pierce, Fenner & Smith (“Merrill Lynch”), which since January 2009 has operated as a division of Bank of America. [read post]
2 Nov 2017, 6:33 am
Registered carrying broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated was found to have held billions of dollars of its customers’ securities in accounts with third-party institutions that were subject to liens by the third parties in violation of the SEC’s customer protection rule. [read post]
1 Nov 2017, 11:28 am
The original pact was signed by UBS Financial Services and Merrill Lynch, Pierce, Fenner & Smith, but was joined by virtually every major wirehouse firm, most of the regional and independent broker-dealers and hundreds of registered investment advisors. [read post]
26 Sep 2017, 7:06 am
Kai entered the industry in 1991 and worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated until 1995. [read post]
24 Sep 2017, 7:34 am
According to BrokerCheck records Robert Yahney (Yahney), associated with Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to five customer complaints. [read post]
20 Sep 2017, 6:25 am
From October 2009 until May 2011, Ryman was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
5 Sep 2017, 12:27 pm
From 1993 to 2000, Camarco was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
7 Aug 2017, 9:16 am
The post Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined and Censured appeared first on White Securities Law. [read post]
31 Jul 2017, 10:25 am
Merrill Lynch, Pierce, Fenner & Smith, 259 F.3d 154, 164 (3d Cir. 2001) (class certification “places inordinate or hydraulic pressure on defendants to settle”); In re Rhone-Poulenc Rorer, Inc., 51 F.3d 293, 299 (7th Cir. 1995) (class certification may require defendants to “stake their companies on the outcome of a single jury trial”). [read post]
10 Jul 2017, 12:59 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated was formerly known as Merrill Lynch Pierce Fenner & Smith, Inc. [read post]
21 Jun 2017, 8:50 am
From October 2009 until August 2011, Lech-Loubet was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
13 Jun 2017, 3:18 pm
Elsoffer entered the securities industry in 1994 and was only registered with Merrill Lynch, Pierce, Fenner & Smith, Inc. until November 2011. [read post]
19 May 2017, 8:59 am
Immediately prior to that, he was with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2000 through February 2017. [read post]
