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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]
27 Feb 2012, 7:29 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 2011 U.S. [read post]
3 Jan 2011, 6:30 am
In In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161, (Tex. [read post]
11 Apr 2007, 11:00 am
Defendants in the petition include Credit Suisse First Boston LLC, Pershing LLC, Merrill Lynch Pierce Fenner & Smith Inc., Credit Suisse First Boston (USA) Inc., Merrill Lynch & Co., Barclays Capital Inc., Barclays Bank PLC, and Barclays PLC. [read post]
3 May 2017, 9:53 am
According to FINRA Broker Check, Holovacko was registered with Merrill Lynch, Pierce, Fenner & Smith in Edison, NJ from November 2011 until September 2014 when he was discharged for “conduct involving misappropriation of funds”. [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 Sep 2018, 7:16 am
In 2015 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) terminated Yanofsky alleging that the broker exercised discretion in discretionary accounts and provided inaccurate responses to the firm. [read post]
Argument analysis: Justices spar with counsel over excluding securities litigation from state courts
2 Dec 2015, 5:25 am
” Merrill Lynch, Pierce, Fenner & Smith v. [read post]
18 May 2016, 9:59 am
Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
20 Mar 2014, 9:54 am
Merrill Lynch Pierce Fenner & Smith Inc.; Merrill Lynch Trust Co. [read post]
8 May 2018, 8:55 am
Carlos Antonio Rodriquez UBS Financial Services Inc Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp Obsidian Financial Group … [read post]
15 May 2018, 1:21 pm
Previously, Camarco was employed at LPL Financial LLC from 2004 to 2017, Morgan Stanley DW Inc. from 2000 to 2004, and Merrill Lynch Pierce, Fenner & Smith Incorporated from 1993 to 2000. [read post]
23 Dec 2019, 1:40 pm
Investment Services Gonzalez, Sofia Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Johnson, Timothy Jr. [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc LaVolpe, Michael Meyers Associates, LP Leonard, William JH… [read post]
6 Nov 2008, 6:31 am
(Smith Barney), Merrill Lynch, Pierce Fenner & Smith Inc. and UBS Financial Services, Inc. entered into the Protocol for Broker Recruiting ("Protocol") in 2004. [read post]
18 Jun 2007, 11:49 pm
.; Merrill Lynch, Pierce, Fenner & Smith Inc.; Morgan Stanley & Co. [read post]
29 Jan 2008, 6:00 am
(See Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
8 Nov 2015, 5:40 pm
., footnote 182 (citing Merrill Lynch, Pierce Fenner & Smith, Inc. v. [read post]
31 Mar 2020, 6:13 am
Prithviraj Dhandapani LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Davrion Hemphill Fernando Landicho Transamerica Financial Advisors,Inc. [read post]
