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11 Feb 2022, 8:25 am
According to his FINRA BrokerCheck profile, Darryl Cohen was affiliated with the following firms, during his career in the securities industry: 06/05/2015 – 04/08/2021, MORGAN STANLEY (CRD#:149777), WESTLAKE VILLAGE, CA, 05/16/2003 – 06/08/2015, WELLS FARGO ADVISORS, LLC (CRD#:19616), WESTLAKE VILLAGE, CA 02/28/1997 – 05/05/2003, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), NEW YORK,… [read post]
8 Feb 2022, 12:12 pm
The court’s intervention in Merrill v. [read post]
8 Feb 2022, 11:00 am
Milligan and Merrill v. [read post]
8 Feb 2022, 10:00 am
This event features a discussion on Lakefront: Public Trust and Private Rights in Chicago with authors Joseph Kearney and Thomas Merrill and panelists Henry Smith, Richard Lazarus, and Carol Rose. [read post]
7 Feb 2022, 10:35 pm
[Merrill v. [read post]
2 Feb 2022, 7:28 am
Anent Howard's post below on the anti-canon, may I note the recent publication of Law's Infamy: Understanding the Canon of Bad Law, edited by Austin Sarat, Lawrence Douglas, and Martha Merrill Umphrey. [read post]
31 Jan 2022, 11:41 am
Iannazzo was subsequently fired by Merrill and charged with, among other things, intimidation based on bias and bigotry. [read post]
31 Jan 2022, 8:44 am
(CRD#:249), LOS ANGELES, CA 09/15/2011 – 03/04/2014, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BEVERLY HILLS, CA 04/14/2008 – 09/16/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), LOS ANGELES, CA Potential Lawsuits to Recover Investment Losses Brokerage firms are required to properly supervise their advisors. [read post]
24 Jan 2022, 2:01 pm
According to FINRA Disciplinary actions for January 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Inc Bradley Holts World Capital Brokerage, Inc. [read post]
21 Jan 2022, 2:17 pm
Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Markets Securities Inc., and Washington Mutual Mortgage Securities Corp., resolving allegations that the banks did not adequately disclose the characteristics of certain mortgage-backed securities sold to New Mexico pension funds and a state-run investment council between 2003 and 2010. [read post]
21 Jan 2022, 2:17 pm
Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Markets Securities Inc., and Washington Mutual Mortgage Securities Corp., resolving allegations that the banks did not adequately disclose the characteristics of certain mortgage-backed securities sold to New Mexico pension funds and a state-run investment council between 2003 and 2010. [read post]
13 Jan 2022, 8:59 am
Before that, he was a Merrill Lynch stockbroker and investment advisor. [read post]
11 Jan 2022, 7:40 am
Two Merrill Lynch Brokers Stole More Than $6M from 13 Clients In December 2021, the Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch in two separate matters. [read post]
7 Jan 2022, 3:00 am
Facebook Groups Topped 10,000 Daily Attacks on Election Before Jan. 6, Analysis Shows Anchorage Daily News – Craig Silverman, Craig Timberg, Jeff Kao, and Jeremy Merrill (Washington Post) | Published: 1/4/2022 Facebook groups swelled with at least 650,000 posts attacking the legitimacy of Joe Biden’s victory between Election Day and the January 6 siege of the U.S. [read post]
6 Jan 2022, 3:00 am
Campaign Finance National: “PAC Giving Continues to Give Some Companies Pause” by Kate Ackley (Roll Call) for MSN Ethics National: “Facebook Groups Topped 10,000 Daily Attacks on Election Before Jan. 6, Analysis Shows” by Craig Silverman, Craig Timberg, Jeff Kao, and Jeremy Merrill (Washington Post) for Anchorage Daily News National: “House Panel Asks Sean Hannity of Fox News to Cooperate in Jan. 6 Inquiry” by Michael Grynbaum and Luke Broadwater for New… [read post]
4 Jan 2022, 10:06 am
(CRD#:5979) of Duluth, GA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
27 Dec 2021, 9:38 am
BB&T Securities, LLC Noe Ramirez III Merrill Lynch, Pierce, Fenner && Smith Incorporated Chase Investment Services Corp. [read post]
23 Dec 2021, 4:00 pm
Landis Christmas Sav Club Co, 273 F. 722 (3d Cir. 1921) [67_F.2d_904] This 1921 decision centered on Merrill B. [read post]
22 Dec 2021, 6:51 am
” The FINRA sweep previously “also hit Merrill Lynch, which paid the lion’s share of the penalties with $11.65 million in fines and restitution, as well as Stifel Nicolaus & Co., Cambridge Investment Research, and Oppenheimer & Co. [read post]
14 Dec 2021, 9:00 am
In addition to the two Wells Fargo divisions, FINRA identified similar supervisory failures in four other firms including Stifel Nicolaus, Oppenheimer, Merrill Lynch and Citigroup. [read post]
