Search for: "Merrill, Lynch, Pierce, Fenner "
Results 381 - 400
of 607
Sort by Relevance
|
Sort by Date
14 Aug 2015, 12:48 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012), a case we discussed here, again certified a class even though the final alleged discriminatory decisions were based on subjective decisions by multiple decision-makers. [read post]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
11 Aug 2015, 5:59 am
David StevensonCase Number: 15-cv-03528 (United States District Court for the District of New Jersey)Case Filed: May 26, 2015Qualifying Judgment/Order: May 29, 2015 6/30/15 9/28/15 2015-63 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015 6/30/15 9/28/15 2015-62… [read post]
31 Jul 2015, 5:33 am
From 1995, until September 2008, Smith was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch). [read post]
28 Jul 2015, 8:18 am
Our firm has been tracking the developments related to Thomas Buck’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under highly unusual circumstances. [read post]
24 Jul 2015, 6:01 am
As we previously reported, (See Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstances) news sources have been investigating the termination of financial advisor Thomas Buck (Buck) and his daughter Ann Buck by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under circumstances that some would consider unusual. [read post]
29 Jun 2015, 12:05 pm
(relisted after the June 25 Conference) Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
28 Jun 2015, 8:37 am
From October 2009, through April 2015, Yzaguirre has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) out of their Ontario, California branch. [read post]
26 Jun 2015, 12:00 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc Sterne Agee & Leach… [read post]
4 Jun 2015, 12:05 pm
By Jacquelyn LumbThe SEC’s Division of Corporation Finance has determined that Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation have made a showing of good cause for why it is not necessary to deny their reliance on Rule 506 of Regulation D based on their violation of Regulation SHO. [read post]
31 May 2015, 7:24 am
McGrath entered the securities industry in 1984 with brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
11 May 2015, 9:03 am
Cicolani was the subject of approximately 70 customer complaints at his previous broker-dealer Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
25 Apr 2015, 4:21 am
., Civil Action No. 1:10-CV-01277 Notice of Covered Action 2011-33In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File No. 3-14204 Notice of Covered Action 2011-101In the Matter of Navistar International Corporation, Daniel C. [read post]
22 Apr 2015, 7:12 am
According to news sources, Thomas Buck (Buck) and his daughter Ann Buck, were recently terminated by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under unusual circumstances. [read post]
30 Mar 2015, 6:51 am
Secretary of the Commonwealth William Galvin accused Merrill, Lynch, Pierce, Fenner & Smith of failing to supervise employees properly when the company made two presentations in January 2013 to financial advisers and others in Boston before properly vetting the material with its compliance department. [read post]
10 Mar 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
25 Feb 2015, 12:50 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
23 Feb 2015, 3:09 pm
The Financial Industry Regulatory Authority recently censured Merrill Lynch Pierce Fenner & Smith and fined the firm $100,000, sanctions to which the firm consented. [read post]
19 Feb 2015, 12:14 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
