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7 Oct 2011, 9:01 am
Bank of America subsidiary Merrill Lynch, Pierce, Fenner andamp; Smith Inc. has been fined $1 million by the Financial Industry Regulatory Authority, or FINRA, for failure to supervise one of its stockbrokers at its branch office in San Antonio, Texas. [read post]
4 Oct 2011, 12:10 pm
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
21 Sep 2011, 8:40 am
Merrill Lynch, Pierce, Fenner & Smith Inc., No. 05-CV-6583 (N.D. [read post]
2 Sep 2011, 4:30 am
In an attempt to escape the obvious conclusion that the common stock is a covered security, the plaintiffs argued that the stock must actually be traded to qualify, and cited Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
2 Sep 2011, 4:30 am
In an attempt to escape the obvious conclusion that the common stock is a covered security, the plaintiffs argued that the stock must actually be traded to qualify, and cited Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
1 Sep 2011, 4:15 pm
The findings state that the firm sold interest in Medical Capital Holdings, Inc. without a permit to engage in the sale of private placements. [read post]
25 Aug 2011, 9:10 am
Respondent Merrill Lynch Pierce Fenner andamp; Smith, Inc., was represented by William E. [read post]
25 Jul 2011, 11:18 am
See Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Jul 2011, 11:13 am
See Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
3 Jun 2011, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
2 May 2011, 11:23 pm
Inc in Los Angeles, California, was suspended from association with any FINRA member for 10 business days and fined $6,623 in connection with the recommendation of unsuitable investments for his customer that were contrary to that customer's investment objectives. [read post]
18 Apr 2011, 7:16 pm
---Krause v Merrill Lynch, Pierce, Fenner, & Smith, Inc, SDNY: Merrill Lynch could not be held liable under Title VII after an employee was allegedly sexually assaulted by a coworker off premises at a nonwork-related off-duty event that she attended. [read post]
8 Mar 2011, 3:56 pm
District Court for the Western District of Washington says that King County, Washington has pleaded sufficient facts to continue with its securities fraud lawsuit accusing Merrill Lynch, Merrill Lynch, Pierce, Fenner and Smith Inc. and Merrill Lynch Money Markets Inc. of facilitating its purchase of allegedly toxic mortgage-backed securities and violating the Washington State Securities Act. [read post]
23 Feb 2011, 1:37 pm
Visicu, Inc. [read post]
25 Jan 2011, 1:52 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. [read post]
24 Jan 2011, 6:45 am
20 Jan 2011, 11:00 am
The past year offered an interesting mix of positive and negative news as investors around the world eagerly anticipated signs of economic recovery and financial stabilization. [read post]
15 Jan 2011, 11:10 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. (1979). [read post]
3 Jan 2011, 6:30 am
., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161, (Tex. [read post]
31 Dec 2010, 8:41 pm
Ernesto Zuniga Gomez, previously with Merill Lynch, Pierce, Fenner & Smith Incorporated in San Diego, CA, was named as a respondent in a FINRA complaint alleging that he created Verbal Authorization Forms (VAFs) that falsely represented that clients had given him verbal authorization to transfer client funds from their account to other client accounts, thereby misusing customer funds. [read post]
