Search for: "Merrill Lynch Capital Services, Inc." Results 21 - 40 of 176
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22 Sep 2022, 8:41 am by Silver Law Group
  Isaac Stewart   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Gregory Williams   Presidential Brokerage, Inc. [read post]
8 Sep 2022, 9:01 pm by Gary Gensler
Other issuers in our capital markets also deserve to compete on a fair playing field. [read post]
1 Jun 2022, 9:16 am by Silver Law Group
  Scott Levine   Ascendiant Capital Markets, LLC   BMA Securities   Mario Martinez   Mutual of Omaha Investors Services, Inc. [read post]
2 May 2022, 1:59 pm by Silver Law Group
  Thomas Hagan   Morgan Stanley   Wells Fargo Advisors, LLC   Forrest Jones   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Fortune Financial Services, Inc. [read post]
22 Feb 2022, 1:58 pm by Silver Law Group
Morgan Securities LLC   Thomas Hagan   Morgan Stanley   Wells Fargo Advisors, LLC   Forrest Jones   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Fortune Financial Services, Inc. [read post]
22 Feb 2022, 12:09 pm by Silver Law Group
  Scarlett Ramsey   NYLife Securities LLC   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Bobby Sullins   BB&T Securities, LLC   BB&T Investment Services, Inc. [read post]
24 Jan 2022, 2:01 pm by Silver Law Group
According to FINRA Disciplinary actions for January 2022, the following individuals were barred 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   Arely Alvarez   Merrill Lynch, Pierce, Fenner & Smith Inc   Bradley Holts   World Capital Brokerage, Inc. [read post]
21 Jan 2022, 2:17 pm by luiza
  In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
21 Jan 2022, 2:17 pm by luiza
  In this matter, initiated by a whistleblower under New Mexico’s Fraud Against Taxpayer’s Act, New Mexico secured a settlement with Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. [read post]
27 Dec 2021, 9:38 am by Silver Law Group
  BB&T Securities, LLC   Noe Ramirez III   Merrill Lynch, Pierce, Fenner && Smith Incorporated   Chase Investment Services Corp. [read post]
3 Dec 2021, 1:29 pm by Silver Law Group
Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Arlington, TX, Banc Of America Investment Services, Inc. [read post]
8 Nov 2021, 1:01 pm by Silver Law Group
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS   Arely Alvarez  Merrill Lynch, Pierce, Fenner & Smith Incorporated   Bradley Holts   World Capital Brokerage, Inc. [read post]
13 Sep 2021, 12:39 pm by The White Law Group
(CRD#:39543), FORT WORTH, TX  08/08/2008 – 02/11/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), ARLINGTON, TX  08/29/2007 – 08/11/2008, BANC OF AMERICA INVESTMENT SERVICES, INC. [read post]