Search for: "Merrill Lynch "
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11 Jun 2020, 7:29 am
Merrill Lynch, 2020 WL 2907676 (SDNY June 3, 2020). [read post]
10 Jun 2020, 6:01 am
On Friday, May 8, 2020 the New York Supreme Court Commercial Division entered an order granting summary judgment in favor of Merrill Lynch, dismissing an investor plaintiff’s fraud claim arising out of its investment in a 2006 collateralized debt obligation (“CDO”) that had been arranged by Merrill Lynch. [1] The court dismissed the plaintiff’s claim because the plaintiff failed to raise a triable issue of fact demonstrating that its… [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
4 Jun 2020, 1:11 pm
In addition, Merrill Lynch did not reasonably monitor for missed reinstatements. [read post]
4 Jun 2020, 10:31 am
Merrill Lynch did not admit or deny wrongdoing. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert… [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor… [read post]
21 May 2020, 7:12 am
MML Investors Services, LLC Suntrust Investment Services, Inc Mannera, Samuel Wells Fargo Clearing Services, LLC 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]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended 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 Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor Networks LLC … [read post]
20 May 2020, 2:25 pm
According to FINRA Disciplinary actions for January 2020, the following individuals were suspended 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 Bressman, Michael FCG Advisors, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Dannenberg, Stephanie Dineen, Mary Ann UBS… [read post]
20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 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 Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Dow,… [read post]
20 May 2020, 1:06 pm
Prior to that, he was reportedly affiliated with Merrill Lynch for 3 years. [read post]
19 May 2020, 1:00 pm
After B-school, I interned at Merrill Lynch and got a job at a small investment firm in the Bay Area. [read post]
15 May 2020, 4:55 am
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History(BrokeAndBroker.com Blog)SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct (SEC Release)SEC Charges Three Individuals for Offering and Selling Fraudulent Oil and Gas InvestmentsCFTC Charges Danish Man in $1.5 Million Forex Fraud Scheme (CFTC Release)Landry's CEO Tilman Fertitta asks Trump to set aside PPP money for large restaurant chains / Fertitta asked for "a category for the… [read post]
11 May 2020, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Juan Barreras (Barreras), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least five customer complaints during the course of his career. [read post]
8 May 2020, 12:02 pm
Before working for Next Financial Group, he worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691). [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
8 May 2020, 4:10 am
Examining Attorney Charles Hiser submitted evidence of use of the term by "cardless cash" by Fidelity's competitors, two patents, one patent application, one trademark registration, and numerous media examples.Citing In re Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
3 May 2020, 10:03 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to January 2009. [read post]
