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16 May 2016, 1:53 pm
The US Supreme Court [official website] ruled [opinion, PDF] unanimously Monday in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
18 Jun 2019, 1:05 pm
Michael Milad Tanha Allegedly Engaged in Five Outside Business Activities without Providing Prior Written Notice to Merrill Lynch, Pierce, Fenner & Smith Incorporated Michael M. [read post]
26 Jan 2012, 9:00 am
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block,… [read post]
20 Sep 2009, 11:43 am
Goldman, Sachs, Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith and J.P. [read post]
3 Jan 2021, 12:14 pm
Former Kentucky-Based Merrill Lynch Broker Gets Eight Years in Prison Christopher Lee Hibbard, a former stockbroker for Merrill Lynch and Pierce, Fenner & Smith is sentenced to eight years in prison. [read post]
20 Aug 2018, 12:51 pm
(CRD #16361), also of Clearwater, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of New York, NY. [read post]
18 Jun 2018, 2:02 pm
On June 12, 2018, the United States Securities and Exchange Commission (“SEC“) issued an Order instituting administrative proceedings, making findings, and imposing remedial sanctions against Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch“), a subsidiary of Bank of America Corporation, pursuant to Section 15(b) of the Securities Exchange Act of 1934. [read post]
11 Jan 2019, 9:55 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to Jan 2009. [read post]
11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
26 Mar 2021, 10:32 am
Boggs, an ex-Merrill Lynch, Pierce, Fenner & Smith registered representative, has pleaded guilty to wire fraud in the federal criminal case accusing him of defrauding former customers of $3M. [read post]
1 Nov 2019, 4:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Release)CFTC Charges Companies and Associates with Failing to Register with the CFTC (CFTC Release)Baton Rouge Man Pleads Guilty in Federal Court to Multi-Million Dollar B... [read post]
1 Nov 2019, 4:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Re... [read post]
21 Jun 2018, 8:26 am
If you have questions about investments you made with Merrill Lynch, Pierce, Fenner & Smith Incorporated the securities attorneys of The White Law Group may be able to help you. [read post]
13 Dec 2010, 7:04 am
Court of Appeals for the Second Circuit affirmed a district court’s ruling denying the motion of plaintiffs-appellants (collectively “LSED”) to compel arbitration of a dispute with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
26 Jan 2012, 7:00 am
It is being reported in the Investment News that Merrill Lynch Pierce Fenner & Smith Inc. has agreed to pay $1 million to settle allegations that it circumvented FINRA rules that require firms to arbitrate disputes with employees, rather than bring them to court. [read post]
6 Jul 2021, 7:48 am
Over 3,000 Customers May Have Been Charged More Than $8.4M in Excessive Sales Fees The Financial Industry Regulatory Authority (FINRA) announced that Merrill Lynch, Pierce, Fenner & Smith will pay approximately $8.4M in restitution and an over $3.2M fine to settle charges alleging supervisory failures involving unit investment trust (UIT) rollovers. [read post]
22 Jan 2019, 1:08 pm
Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. [read post]
