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30 Apr 2020, 11:10 am
The Securities and Exchange Commission (“SEC”) announced this month that four investment advisory firms—Merrill Lynch, RBC Capital Markets, Eagle Strategies, and Cozad Asset Management—agreed to pay $4.72 million to settle charges that they recommended and sold mutual share classes to its customers when cheaper shares were available to those investors. [read post]
24 Apr 2020, 5:21 am
Federal Court De-Fangs Merrill Lynch In Class Action Dismissal (BrokeAndBroker.com Blog) Former Executives and Investment Group Settle Fraud Action (SEC Release)SEC Charges Founders and Issuer for Conducting Fraudulent and Unregistered ICO (SEC Release)SEC Forms Cross-Divisional COVID-19 Market Monitoring Group (SEC Release)Jeff Concepcion and Howard Milstein combine to take dead aim at COVID-distressed RIA market -- putting youthful executive energies and a billionaire's… [read post]
24 Apr 2020, 5:21 am
A public customer filed a FINRA arbitration case against Merrill Lynch. [read post]
3 Apr 2020, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5155/securities-industry-commentator/COVID-19 throws a curve ball at RIA M&A market, gut-punching valuations and causing fence-sitters to resolve to get the hell out, but Q1 prices hold their own / M&A rainmakers hedge their bets on how deep COVID-19 will drive cuts to RIA sale prices, although first quarter market has been stable (RIABiz by Oisin… [read post]
31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [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]
18 Mar 2020, 5:39 pm
Stoltmann Law Offices has brought arbitration claims against dozens of brokerage firms like Ameriprise Financial, Merrill Lynch, Morgan Stanley, Wells Fargo, and JP Morgan Securities involving the unsuitable recommendations for investors to invest in oil and gas related securities. [read post]
13 Mar 2020, 1:51 pm
Morgan, Credit Suisse, Bank of America Merrill Lynch, and Jefferies serving as underwriters for the offering. [read post]
11 Mar 2020, 7:28 am
As one Bank of America Merrill Lynch report cited in a Reuters article, the coronavirus is the type of “slow-moving train wreck” in which the market “slowly and progressively” realizes its “magnitude. [read post]
9 Mar 2020, 10:42 am
Contributing to this crisis of uncertainty are: Conflicting reports about how fast the virus is spreading and where Concerns about the availability of testing Whether and to what extent the US government will offer bailouts to the travel and other impacted industries Issues surrounding the impact of the virus on global supply chains and merchandise production How mounting fears and the possibility of government restrictions on movement could cause a decline in consumer spending While investors are… [read post]
2 Mar 2020, 9:18 am
Merrill Lynch Pierce Fenner & Smith Inc., 712 F.3d 1349, 1354 (9th Cir. 2013); United Nuclear Corp. v. [read post]
2 Mar 2020, 5:56 am
Continue Reading › The post Citigroup, LPL Financial, Morgan Stanley, JP Morgan Securities, and Merrill Lynch Fined $1.4M for Failure to Reasonably Supervise appeared first on Investor Lawyers Blog. [read post]
21 Feb 2020, 1:29 am
In today's featured FINRA regulatory settlement, we come across the case of a Merrill Lynch employee who signed off on agreements without apparent authorization. [read post]
19 Feb 2020, 7:05 am
Fired Merrill Lynch Broker Barred By FINRA Indefinitely If you were an investor who sustained losses while working with Ma Rosa Linan Abrego, contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
31 Jan 2020, 11:13 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Heather Weber (Weber), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least ten customer complaints during the course of her career. [read post]
28 Jan 2020, 7:21 am
Hutton & Company (CRD#: 235), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), and Oppenheimer & Co. [read post]
27 Jan 2020, 12:37 pm
Gierbolini continued to work with the couple when he moved to Merrill Lynch in 2012. [read post]
24 Jan 2020, 10:34 am
The ADR Cases – Throughout 2019, the SEC closed settlements with numerous brokers—including Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), Wedbush, Merrill Lynch, Jeffries, BMO, and Cantor Fitzgerald—over their improper handling of pre-released American Depository Receipts (ADRs). [read post]
23 Jan 2020, 6:18 am
Merrill Lynch Recommended Puerto Rican bonds to the former MLV player According to a FINRA award posted Tuesday, a 3 person FINRA arbitration panel ruled that Merrill Lynch will pay Angel and Windy Pagan $1.7 million in compensatory damages and $88,758 in costs in connection with Puerto Rican bond losses. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
