Search for: "Merrill Lynch & Company Incorporated"
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29 Feb 2016, 6:40 am
In November 2015, Sands’ then brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) terminated Sands for cause alleging that the broker engaged in conduct inconsistent with the firm’s selling away policies. [read post]
29 Mar 2023, 12:33 pm
Merrill Lynch was never notified of these OBAs. [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
24 Sep 2018, 6:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Frank Zito (Zito), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in Ridgeland, Mississippi and currently registered with Coker & Palmer was terminated concerning allegations that Zito engaged in conduct such as failure to adhere to firm standards regarding selling away and failure to fully disclose… [read post]
5 Jan 2018, 12:26 pm
According to BrokerCheck records financial advisor James Lowther (Lowther), employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to two customer complaints. [read post]
18 Jun 2019, 1:05 pm
Michael Milad Tanha Allegedly Engaged in Five Outside Business Activities without Providing Prior Written Notice to Merrill Lynch, Pierce, Fenner & Smith Incorporated Michael M. [read post]
17 Aug 2015, 2:17 pm
Strike 3 came from a conversation that turned heated and involved management over-hearing curse words.Lowe worked at Bank of America Merrill Lynch for 20 years and never experienced any issues until new management was incorporated into the Los Angeles office in 2014. [read post]
7 Mar 2022, 7:24 am
His previous employer employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Miamisburg, OH, Morgan Stanley Smith Barney (CRD#:149777) and Citigroup Global Markets Inc. [read post]
13 Nov 2018, 5:57 am
Hibbard’s most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated of Louisville, KY, from July 16, 2010 through January 26, 2018, and his previous employers include Morgan Keegan & Company, Inc., also of Louisville, and A. [read post]
22 Jul 2010, 1:52 pm
Whitehill In In re Merrill Lynch & Co., Inc. and Merrill, Lynch, Pierce, Fenner; Smith Incorporated, __ S.W.3d __ (June 25, 2010 slip op.), the Texas Supreme Court conditionally granted mandamus relief in favor of Merrill Lynch, staying litigation against it by a non-signatory company when that company’s sister company that was a signatory to an arbitration agreement was also asserting identical… [read post]
2 Nov 2018, 10:41 am
Morgan Securities LLC (CRD #79), also of New York, NY, Santander Securities (CRD #41791) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) both of Miami, FL. [read post]
1 Jun 2018, 11:35 am
James was previously employed with: Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Wayzata, MN, from 06/16/2006 to 03/24/2016 Continue reading The post FINRA Bars Stifel Nicolaus Broker John M. [read post]
23 Aug 2021, 1:08 pm
Peter Ianace (Peter Vincent Ianace CRD# 3238078) was a registered broker and investment adviser who most recently was registered with Wells Fargo Clearing Services, but spent 2011-2019 as a registered representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Frisco, Texas. [read post]
17 Apr 2007, 8:49 am
The director of campus recruiting for Merrill Lynch says the company plans to add podcasts and more streaming media. [read post]
27 Apr 2022, 8:37 am
Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Stuart, FL. [read post]
8 Feb 2021, 10:35 am
It is important to note that from 2014 through 2017, Zito allegedly submitted four annual certifications to Merrill Lynch denying allegations of any offering recommendations or private securities transactions that were not offered through Merrill Lynch, the AWC notes. [read post]
8 Feb 2021, 10:35 am
It is important to note that from 2014 through 2017, Zito allegedly submitted four annual certifications to Merrill Lynch denying allegations of any offering recommendations or private securities transactions that were not offered through Merrill Lynch, the AWC notes. [read post]
28 Sep 2015, 8:59 am
FINRA’s investigation appears to stem from Highfill’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in May 2015. [read post]
11 Apr 2021, 9:05 am
According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
