Search for: "MERRIL LYNCH "
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7 Dec 2023, 7:11 am
Additionally, the SEC charged Merrill Lynch with failing to file necessary Suspicious Activity Reports for a 10 year period from 2009 to 2019. [read post]
24 Nov 2023, 12:47 pm
Merrill Lynch Pierce Fenner & Smith, Inc., 821 F.Supp. 59 (D.N.H. 1993) (holding that arbitrators’ refusal to apply the statute of limitations was not “manifest disregard” of the law).Of course, the parties’ contracts can explicitly make statutes of limitations applicable to their arbitrations. [read post]
15 Nov 2023, 9:03 pm
When Unsuitable Trading Leads To Investor Losses Our Unsuitable Trading Attorneys Are Speaking To Former Customers of Ex-Merrill Lynch Broker Robert Gerstein The Financial Industry Regulatory Authority (FINRA) has suspended a former longtime Merrill Lynch financial advisor for allegedly recommending that some customers short-term trade their mutual fund shares and certain complex financial products that were better suited for a longer-term trading strategy. [read post]
15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
14 Nov 2023, 9:01 pm
The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
10 Nov 2023, 7:01 am
(CRD#:7059) of El Segundo, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
3 Nov 2023, 11:48 am
(CRD#:199), COLORADO SPRINGS, CO, B, 09/18/2015 – 01/21/2020, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), COLORADO SPRINGS, CO The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
26 Oct 2023, 8:35 am
Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce ,Fenner & Smith Incorporated Steven Thompson Network 1 Financial Securities Inc. [read post]
25 Oct 2023, 12:49 pm
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
9 Oct 2023, 3:31 pm
Bloomberg found out about FINRA secretly firing the Postell arbitrators, and it published an article opining that FINRA fired the Postell arbitrators because they “had the temerity to find in favor of a customer in a securities arbitration against Merrill Lynch. [read post]
9 Oct 2023, 1:21 pm
In today's public customer FINRA arbitration, we have a failed second-bite of the same wormy Merrill Lynch apple. [read post]
3 Oct 2023, 8:44 am
Bank of America (Bank of America, N.A (BANA) and Merrill Lynch International (MLI)) for failing to diligently supervise swaps reporting and failing to comply with swaps reporting obligations. [read post]
1 Oct 2023, 8:04 am
On July 20, 2023, Robert Spencer Gerstein, based in Boca Raton, Florida, was subject to an AWC (Acceptance, Waiver, and Consent) by FINRA (Financial Industry Regulatory Authority). [read post]
28 Sep 2023, 1:45 pm
” Broker Bill King Voluntarily Resigned from Merrill Lynch in 2023 In April of 2023, King voluntarily resigned from his position as a broker with Merrill Lynch due to allegations of “unsuitable and unauthorized trading in certain clients’ accounts. [read post]
28 Sep 2023, 1:45 pm
” Broker Bill King Voluntarily Resigned from Merrill Lynch in 2023 In April of 2023, King voluntarily resigned from his position as a broker with Merrill Lynch due to allegations of “unsuitable and unauthorized trading in certain clients’ accounts. [read post]
28 Sep 2023, 1:45 pm
” Broker Bill King Voluntarily Resigned from Merrill Lynch in 2023 In April of 2023, King voluntarily resigned from his position as a broker with Merrill Lynch due to allegations of “unsuitable and unauthorized trading in certain clients’ accounts. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
19 Sep 2023, 11:56 pm
A promissory note, often called an up-front forgivable loan, is commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo, Ameriprise, and UBS Financial Services. [read post]
