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15 Nov 2019, 11:56 am
Jonathan Elliott, Peoria, Arizona, Todd Bendell Merrill Lynch, Todd Bendell Scottsdale, cold calling, FINRA Johnathan Rankin, Merrill Lynch cold calling, The post 3 Merrill Lynch Brokers Reportedly Fired for Cold Calling appeared first on The White Law Group. [read post]
8 Nov 2019, 12:19 pm
The post Merrill Lynch, Raymond James to Pay $12 Million to Customers appeared first on The White Law Group. [read post]
8 Nov 2019, 5:26 am
Linan Abrego was registered with Merrill Lynch as a broker and financial advisor from December 6, 2016 to June 10, 2019 when she was terminated for cause by Merrill Lynch for “misappropriating client funds. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:Merrill Lynch Hit with $3.75 Million in Defamation Damages in Employment Dispute. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms… [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4889/securities-industry-commentator/Merrill Lynch Hit with $3.75 Million in Defamation Damages in Employment Dispute. [read post]
22 Oct 2019, 1:34 pm
Wirehouses like UBS, Morgan Stanley and Merrill Lynch have mistreated brokers for years. [read post]
22 Oct 2019, 12:22 pm
Ameriprise Financial Services NBC Securities Jeffrey Lundstrom Signator Investors, Inc Transamerica Financial Advisors Uriah Mitchell JP Morgan Securities Raymond Montchal Morgan Stanley Citigroup Global Markets Robert Neuedorf David Lerner Associates Merrill Lynch, Pierce, Fenner & Smith Silver Law Group represents investors in securities and investment fraud cases through FINRA… [read post]
22 Oct 2019, 12:00 pm
Bank of America announced that Merrill Edge’s self-directed program will offer unlimited commission-free trades of stocks, ETFs and options for self-directed clients who are also enrolled in the bank’s Preferred Rewards, a program that gives clients additional benefits — like rewards on credit cards or preferential interest rates — for using multiple products and services at the company. [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co … [read post]
4 Oct 2019, 8:38 am
In June 2019, Merrill Lynch Wealth Management President Andy Sieg boasted that his carrot-and-stick regi... [read post]
4 Oct 2019, 8:38 am
featured in today's Securities Industry Commentator:Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq (BrokeAndBroker.com Blog)How Forced Arbitration Tipped the Scales (PBS / Season 1 Episode 1)Former Salesman Pleads Guilty In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock (DOJ Release)Federal Jury Convicts Owner of Bullion Direct, Inc. in Austin for Investment and Wire Fraud Scheme (DOJ Release)Monroe County Resident… [read post]
18 Sep 2019, 10:11 am
Merrill Lynch is the broker-dealer division of Bank of America Corporation. [read post]
17 Sep 2019, 6:09 am
” Boggs worked at Merrill Lynch’s Chicago office from 2006 to 2018. [read post]
10 Sep 2019, 11:35 am
Omega Healthcare Investors Inc. has agreed to sell 7.5 million shares of common stock to BofA Merrill Lynch or its affiliate, with an option to sell an additional 1.125 million shares, in ... [read post]
9 Sep 2019, 7:42 am
BofA Merrill Lynch and Barclays acted as financial advisors to the Permira funds and Barclays provided committed financing. [read post]
5 Sep 2019, 8:09 am
Indeed, UBS and Merrill Lynch investors whose portfolios are exposed to volatility sensitive yield enhancement options strategies are particularly vulnerable. [read post]
3 Sep 2019, 12:29 pm
Well known brokerage firms like Merrill Lynch, Morgan Stanley, J.P. [read post]
3 Sep 2019, 10:53 am
Merrill Lynch issued a statement stating that Boggs was terminated in December, shortly after the company detected the fraud. [read post]
