Search for: "Merrill Lynch & Company Incorporated"
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10 Nov 2023, 7:01 am
(CRD#:7059) of El Segundo, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
15 Mar 2021, 7:13 am
Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. [read post]
26 Dec 2006, 6:42 am
A trial is scheduled for April, but a federal appeals court is reviewing a challenge by Merrill Lynch and other defendants to Judge Harmon's class certification order, Bloomberg News reported. [read post]
28 Mar 2011, 7:06 am
Engagement of Merrill Lynch, Pierce, Fenner & Smith Incorporated As further discussed above (see "--Background of the Merger"), the Company retained BofA Merrill Lynch as one of its financial advisors in connection with the merger. [read post]
22 Dec 2010, 6:36 am
Many Fortune 500 companies have purchased Aprimo's software, such as Merrill Lynch, Warner Brothers, International Speedway Corp., and Target. [read post]
20 Jan 2017, 10:17 am
From March 2006 through May 2009 Schmidhammer was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
19 Sep 2013, 12:04 pm
The underwriters for the PABs are JP Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Estrada Hinojosa & Company, Inc. [read post]
6 Sep 2013, 9:00 am
This week in Suits by Suits: Merrill Lynch reportedly reached a $160 million settlement in a class action discrimination lawsuit brought by former employees alleging that the brokerage firm systematically steered its African-American financial advisors away from the highest-earning clients and portfolios, resulting in systematic disparate application of the firm’s facially neutral “pay-for-production” compensation schedule. [read post]
5 May 2023, 7:48 am
According to FINRA Disciplinary actions for April 2023, 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 Christine Bourdelais NYLife Securities LLC Thomas Buck RBC Capital Markets, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Narongdej Jaroensabphayanont Voya Financial Advisors, Inc. [read post]
25 Jan 2018, 6:53 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [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]
28 Jan 2020, 7:21 am
Hutton & Company (CRD#: 235), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691), and Oppenheimer & Co. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roumayeh was employed by his prior employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) prior to being investigated concerning his activities. [read post]
16 Jun 2008, 3:53 am
The class obtained a nearly $2 billion judgment in federal district court, and later sought to attach the assets of Arelma, S.A., a company that had been incorporated by Marcos. [read post]
15 May 2018, 1:21 pm
Previously, Camarco was employed at LPL Financial LLC from 2004 to 2017, Morgan Stanley DW Inc. from 2000 to 2004, and Merrill Lynch Pierce, Fenner & Smith Incorporated from 1993 to 2000. [read post]
19 Mar 2016, 6:06 am
Ingros was associated with brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) from May 2007 until November 203. [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]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
2 Aug 2018, 12:55 pm
From December 1991 to April 2008, Stucker was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
