Search for: "Merrill, Lynch, Pierce, Fenner "
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26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
25 Jan 2012, 1:47 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
25 Jan 2012, 12:23 pm
Merrill Lynch Pierce Fenner andamp; Smith has been censured and fined $1 million for its failure to arbitrate disputes with its employees over retention bonuses. [read post]
12 Jan 2012, 4:48 am
. - I remember slugging proof on a Merrill Lynch deal and being astonished at how fast their people could say "Merrill no com Lynch com Pierce com Fenner ampersand Smith no com Incorporated six up. [read post]
7 Jan 2012, 12:35 pm
Popper previously worked for four financial firms, including Merrill Lynch Pierce Fenner & Smith Inc. and Workman Securities Corp. [read post]
28 Dec 2011, 8:20 am
Merrill Lynch, Pierce, Fenner & Smith Inc., 2011 U.S. [read post]
21 Oct 2011, 4:59 pm
., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Morgan Stanley & Co., Inc., (the Firms) sued news aggregator (pdf) Theflyonthewall.com (Fly) for copyright infringement and for committing the New York state law tort of “hot news” misappropriation. [read post]
13 Oct 2011, 3:47 pm
First Court of Appeals in Houston hands down lengthy opinion in interlocutory appeal of complex dispute over who should hear and resolve subsidiary issue in a pending arbitration proceeding. [read post]
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
Ernesto Zuniga Gomez, formerly with Merrill Lynch, Pierce, Fenner & Smith in San Diego, CA, was barred from association with any FINRA member in connection with the use of verbal authorization forms that falsely stated customer approval for the transfer of funds from their accounts to other customers' accounts. [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
Stuart Phillip Miller, formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, was suspended from association with any FINRA member for one year and fined $10,000 in connection with the joint solicitation and handling of customer accounts with another individual - where Miller and the individual created a model fund portfolio to present to potential customers and misrepresenting that they managed the portfolio. [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]
