Search for: "Mark Fenner"
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12 Jan 2018, 8:48 am
Terry Mark Mlodzik UBS Financial Services Inc. [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan Capital Securities, LLC First Standard Financial Company LLC … [read post]
21 Nov 2008, 5:45 am
Details from Anne Goldstein.The next IP Writing Course conducted by IPKat team member Jeremy takes place on Monday 1 December, 1.30pm to 4.45pm in the Fenner Brockway Room, Conway Hall, London. [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 Financial… [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]
1 Sep 2011, 4:15 pm
Ernesto Zuniga Gomez, formerly with Merrill Lynch, Pierce, Fenner & Smith in San Diego, CA, was barred from association with any FINRA member in connection with the use of verbal authorization forms that falsely stated customer approval for the transfer of funds from their accounts to other customers' accounts. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The Benchmark Company, LLC… [read post]
25 Jan 2018, 6:53 am
By Mark S. [read post]
6 Sep 2010, 6:41 am
Thanks, Nick Fenner (Shoosmiths), for the newsy link. [read post]
22 Sep 2023, 2:24 pm
The claimant requested $158,000 and the dispute is currently marked as settled for $10,000. [read post]
22 Sep 2023, 2:24 pm
The claimant requested $158,000 and the dispute is currently marked as settled for $10,000. [read post]
22 Sep 2023, 2:24 pm
The claimant requested $158,000 and the dispute is currently marked as settled for $10,000. [read post]
9 Mar 2023, 3:59 am
In re Merrill Lynch, Pierce, Fenner, and Smith, Inc., 828 F.2d 1567, 1571, 4 U.S.P.Q.2d 1141, 1143 (Fed. [read post]
20 Mar 2009, 7:00 am
You can separately subscribe to the IP Think Tank Global Week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: WIPO review of UDRP disputes - record number of complaints handled by WIPO in 2008 (WIPO) (Out-Law) (Michael Geist) (Managing Intellectual Property) (Class 46) (Intellectual Property Watch) (Law360) Goverment outlines new creative industries’ Digital Rights Agency proposed in Digital Britain report (Out-Law) (IP finance) (Intellectual… [read post]
11 Jul 2018, 2:13 pm
In addition, Destefano also had marked over 100 order tickets incorrectly, labeling them “unsolicited” when they were in fact solicited trades. [read post]
1 Dec 2015, 2:48 am
In Merrill Lynch, Pierce, Fenner, & Smith v. [read post]
15 Jan 2019, 2:41 pm
He was discharged by Securities America, Inc. on February 4, 2015, for alleged failure to follow firm policies, and also voluntarily resigned from Merrill Lynch, Peirce, Fenner & Smith Inc. after the firm alleged on May 19, 2014 that Destefano allegedly was involved in potentially mis-marking order tickets, FINRA reports. [read post]
31 Jul 2009, 4:42 am
Supp. 2d 360, 380 (S.D.N.Y. 2005)) (internal quotation marks omitted). [read post]
4 Jun 2018, 6:30 am
Harbinger Asset Management, LLC Bhaskar Chandrakant Vyas Interfirst Capital Corporation Western International Securities, Inc Mark Edward Winburne MML Investors Services, LLC Metlife Securities, Inc. [read post]
2 Dec 2015, 5:07 am
Briefly: In his column for Bloomberg View, Noah Feldman discusses Merrill Lynch, Pierce, Fenner, & Smith v. [read post]
