Search for: "Fenner Inc"
Results 321 - 340
of 486
Sort by Relevance
|
Sort by Date
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]
3 Apr 2013, 12:47 pm
Churning claims arise out of the inherent conflict of interest involved because a financial advisor is compensated by commissions earned in buying and selling securities on behalf of a client. [read post]
13 Feb 2013, 1:13 pm
” Fenner Precision, Inc. v. [read post]
31 Jan 2013, 5:31 pm
Thus the Court held, consistent with the Supreme Court’s decision in in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
30 Jan 2013, 11:36 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012), somehow resuscitated their claims. [read post]
23 Jan 2013, 6:09 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
13 Nov 2012, 11:54 am
Merril Lynch, Pierce Fenner andamp; Smith, Inc., 532 F. [read post]
31 Oct 2012, 11:00 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
30 Oct 2012, 7:25 am
The United States District Court for the Northern District of Georgia has upheld a $520,283 FINRA Arbitration Award rendered against Merrill Lynch Fenner & Smith Inc. [read post]
10 Oct 2012, 8:44 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012). [read post]
3 Oct 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Sep 2012, 9:06 am
Yesterday, FINRA announced today that it andquot;censuredandquot; and fined Merrill Lynch, Pierce, Fenner andamp; Smith Inc. $500,000 for supervisory failures that allowed widespread deficiencies in filing hundreds of required reports, including customer complaints, arbitration claims, and related U4 and U5 filings, and for its failure to file the required reports. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
17 Aug 2012, 1:47 pm
During the applicable period, from March 31, 2009 to August 13, 2009, he was registered with Merrill Lynch, Pierce, Fenner, & Smith, Inc. [read post]
17 Aug 2012, 6:47 am
Merril Lynch, Pierce, Fenner & Smith, Inc., 259 F.3d 154, 167 (3d Cir. 2001) (quoting Gen. [read post]
10 Aug 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012) (discussed in this blog post). [read post]
9 Aug 2012, 6:21 am
Merrill, Lynch, Pierce, Fenner & Smith, 672 F.3d 482 (7th Cir. [read post]
7 Aug 2012, 6:15 am
Univ. of Chicago, 441 U.S. 677, 698-99 (1979) (holding that the Court’s “evaluation of congressional action in 1972 must take into account its contemporary legal context”); see also Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
