Search for: "James A Merrill "
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8 Dec 2020, 6:16 am
A life-long fine art painter, he was never shy about praising his former art students such as Alton Bowman, Jane Goldman, James Havard, Bruce Kunkle, Noel Mahaffey, Ross Merrill, Tom Palmore, Roy Perkinson, Marty Ray, David Searcy, Anne Weary, Robert “Bob” Yarber and Willie Wayne Young. [read post]
20 Nov 2020, 7:45 am
Raymond James & Associates, Inc. [read post]
29 Oct 2020, 4:20 pm
The project is a partnership between the National Trust for Historic Preservation, the Trust for the National Mall, and the National Park Service (which manages the Tidal Basin), along with architecture firm Skidmore, Owings & Merrill and American Express. [read post]
29 Oct 2020, 6:57 am
Gavelytics now also provides attorney reviews of judges, which its licensed from James Publishing. [read post]
19 Oct 2020, 10:34 am
• James Merrill Neel, 82, of Houston, died July 1, 2020. [read post]
7 Oct 2020, 11:08 am
Anupam Chander, Georgetown University Vanessa Chang Iris Chiu James Czerniawski, Policy Analyst, Tech and Innovation, Libertas Institute Eric Davis, CIPM, CIPP/E Margaret A. [read post]
3 Sep 2020, 8:21 am
Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Scott McVicker Market Wise Securities, inc. [read post]
29 Jul 2020, 12:44 pm
Raymond James & Associates, Inc. [read post]
29 Jul 2020, 12:20 pm
Grizelle Perez USC Securities LLC Sanders Morris Harris LLC John Wyshak Raymond James & Associates, Inc. [read post]
3 Jul 2020, 3:00 am
Hickenlooper Rolls to Victory in Colorado Senate Primary Politico – James Arkin and Ally Mutnick | Published: 6/30/2020 Former Gov. [read post]
16 Jun 2020, 7:14 am
Matthew Francis Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated James Heafner Retirement Wealth Advisors, Inc. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, 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 Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp Obsidian Financial Group … [read post]
20 May 2020, 2:25 pm
According to FINRA Disciplinary actions for January 2020, 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 Bressman, Michael FCG Advisors, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Dannenberg, Stephanie Dineen, Mary Ann UBS Financial… [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
24 Jan 2020, 10:34 am
Whistleblowers are now involved in 40% of the CFTC’s ongoing investigations, according to CFTC Director of Enforcement James McDonald. [read post]
24 Dec 2019, 8:12 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. [read post]
26 Nov 2019, 7:12 am
Raymond James & Assoc Southwest Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
8 Nov 2019, 12:19 pm
Merrill Lynch & Raymond James Sanctioned for Alleged 529 Plan Violations According to the Financial Industry Regulatory Authority (FINRA), Merrill Lynch, Raymond James & Associates and Raymond James Financial Services have reportedly agreed to pay a combined $12 million in restitution to customers for alleged 529 savings plan violations. [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… [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 arbitration or… [read post]
