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19 Feb 2019, 3:47 pm
On February 11, Bank of America, Merrill Lynch, and Countrywide (together, “the Banks“) filed suit against the National Credit Union Administration Board (“NCUA“) in its capacity as liquidating agent or conservator to six credit unions who purchased MBS issued by the Plaintiffs. [read post]
19 Feb 2019, 2:04 pm
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Indianapolis, and UBS Painewebber Inc. [read post]
16 Feb 2019, 1:34 pm
., Littleton, Colorado— February 15, 2008 to June 17, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated, Englewood, Colorado— December 6, 2002 to February 22, 2008 Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated. [read post]
15 Feb 2019, 11:32 am
Ex-Merrill Lynch Broker Will Pay $5M Penalty and Serve Time In Prison A federal judge has sentenced Thomas Buck, an ex-Merrill Lynch broker, to 40 months in prison. [read post]
14 Feb 2019, 11:17 am
The post Former Merrill Lynch advisor Tom Buck sentenced appeared first on The White Law Group. [read post]
14 Feb 2019, 8:33 am
We currently represent or have previously represented investors that bought Puerto Rico investments through Merrill Lynch (BSC), Barclays (BARC), Santander Securities (SAN), UBS Puerto Rico (UBS-PR), GMS, and many other broker-dealers. [read post]
9 Feb 2019, 6:43 am
In today's featured FINRA regulatory settlement, a former employee of an unnamed bank is barred because of her alleged misconduct at that unnamed bank, and, well, odd, but, Wall Street's fearless self-regulatory-organization seems fearful to name the bank by name. [read post]
7 Feb 2019, 11:39 am
Ben Dembla – (Bhenoy Dembla) – Merrill Lynch – Chicago, IL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Ben Dembla (CRD#4357042) from associating with any FINRA member at any time. [read post]
7 Feb 2019, 9:46 am
Merrill Lynch has since paid customers that were affected nearly $32K in restitution. [read post]
6 Feb 2019, 5:26 am
In today's featured FINRA regulatory settlement, we come across a Merrill Lynch iconoclast who aspired to fly beneath his firm's compliance radar. [read post]
5 Feb 2019, 5:55 pm
In particular, SSEK has worked with investors who purchased Puerto Rico investments from Popular Securities, UBS Puerto Rico (UBS-PR), Oriental Bank, Morgan Stanley (MS), Santander Securities (SAN), Barclays (BARC), Merrill Lynch (BSC), GMS and many others. [read post]
5 Feb 2019, 2:26 pm
Merrill Lynch Pierce Fenner & Smith Inc., FINRA Office of Dispute Resolution Case No.: 18-00845. [read post]
31 Jan 2019, 8:04 am
The Financial Industry Regulatory Authority (FINRA) has oversight over all major brokerage firms operating in the United States (including UBS Financial Services, Credit Suisse, Merrill Lynch and Morgan Stanley), and these firms are required to arbitrate loss claims filed by individual investors. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities… [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip JP… [read post]
25 Jan 2019, 9:48 am
The former Merrill Lynch broker, Eva Weinberg, and her lover Michael Stern were sentenced to time in prison for the fraud. [read post]
22 Jan 2019, 1:08 pm
Continue reading The post Broker Ralph Byer Of Merrill Lynch Has Seven Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
18 Jan 2019, 2:07 pm
The new deals Wells Fargo is offering resemble those that wirehouses such as Merrill Lynch, Morgan Stanley, and UBS used to make, during the peak of recruiting frenzies. [read post]
18 Jan 2019, 9:22 am
You know how something bothers you but you decide to try and ignore it, but the longer you try to ignore it, the more it bothers you? [read post]
