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10 Feb 2021, 3:44 am
"Applicant confuses Merrill Lynch’s 'mixture of usages'—which referred to a mixture of consumer recognition of the term as used by the applicant and as a generic reference—with the use of a hyphen or addition of a space, which is not the type of mixed usage referred to in Merrill Lynch. [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]
3 Feb 2021, 10:18 am
FINRA Arbitrator Recommends Expungement after Merrill’s U5 Notice Shows ‘Reckless Disregard for the Truth’ A FINRA arbitrator has ruled in favor of a former broker in a claim against Merrill Lynch over her termination, according to a FINRA award cited by Financial Advisor IQ today. [read post]
29 Jan 2021, 2:07 pm
Kansas’ “insanity defense” provides the following: “It shall be a defense to a prosecution […] The post Here’s What You Need to Know About the Insanity Defense appeared first on Merrill Law Firm. [read post]
29 Jan 2021, 2:07 pm
The post Here’s What You Need to Know About the Insanity Defense appeared first on Merrill Law Firm. [read post]
28 Jan 2021, 6:13 am
The post Ex-Merrill Lynch Broker Tyler Delahunt Barred from Securities Industry appeared first on The White Law Group. [read post]
26 Jan 2021, 11:48 am
In July 2019 we reported Merrill Lynch paid a whopping $40 million settlement to a customer who alleged Kenahan churned his account. [read post]
26 Jan 2021, 8:49 am
Merrill Lynch terminated Mr. [read post]
25 Jan 2021, 6:17 pm
In 2019, Bank of America Merrill Lynch agreed to pay $40 million to settle with Robert Levine, co-founder of Cabletron Systems, over churning allegations. [read post]
22 Jan 2021, 12:05 pm
In 1995, Bibo was “allowed to resign” from his position at Merrill Lynch for failing to disclose a petty theft charge in 1987. [read post]
22 Jan 2021, 10:53 am
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5656/finra-merrill-lynch-expungement/Imagine the plight of an associated person, who is accused of the unauthorized opening of a bank account for a client. [read post]
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms pledge to… [read post]
19 Jan 2021, 8:06 am
Former Merrill Lynch Advisor Ryan Raskin Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Merrill Lynch advisor Ryan Raskin, after allegations of unsuitable investments. [read post]
15 Jan 2021, 1:54 pm
appeared first on Merrill Law Firm. [read post]
15 Jan 2021, 1:54 pm
appeared first on Merrill Law Firm. [read post]
15 Jan 2021, 12:15 pm
Still, Merrill Lynch discharged Mr. [read post]
15 Jan 2021, 3:00 am
According to this Toppan Merrill blog discussing the article, 34% of September 10-K & 10-Q filings reportedly contained tagging errors. [read post]
14 Jan 2021, 7:15 am
Merrill Lynch terminated Mr. [read post]
14 Jan 2021, 5:45 am
” However, the Board Applicant’s response in this case to the Examining Attorney’s evidentiary showing is fairly impressive, as was the applicant’s in Merrill Lynch. [read post]
