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26 Apr 2018, 6:28 am
Marcus Duane Parker, according to online, FINRA records, was previously registered with Dean Witter Reynolds, Thomson McKinnon Securities, Prudential Securities, Painewebber, Salomon Smith Barney, Merrill Lynch in Santa Fe, New Mexico from September 2001 until September 2008, and Wells Fargo in Santa Fe from September 2008 until December 2017. [read post]
25 Apr 2018, 2:06 pm
In Durcan, the decedent had originally created Individual Retirement Accounts that were held by the securities firm of Merrill Lynch. [read post]
23 Apr 2018, 1:20 am
As I noted at the time, on March 20, 2018, the U.S. [read post]
16 Apr 2018, 4:03 pm
This decision establishes important limits on SLUSA preclusion and the scope of the United States Supreme Court’s seminal SLUSA decision, Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
15 Apr 2018, 6:58 am
A recent FINRA regulatory settlement presents us with the puzzling scenario of three versions of the same event as told by the stockbroker, his employer, and the industry regulator. [read post]
13 Apr 2018, 8:19 am
Mersinger is Senior Vice President for Merrill Lynch/Bank of America. [read post]
11 Apr 2018, 9:51 am
In a separate complaint, O’Keefe, while registered with Merrill Lynch, was accused of making unsuitable investments and churning accounts. [read post]
6 Apr 2018, 11:33 am
What followed was a wave of investment fraud cases against firms like Merrill Lynch, Morgan Stanley and Citigroup, whose research analysts hyped companies with limited revenues and earnings into a bubble, only to see it pop. [read post]
6 Apr 2018, 6:29 am
Lynch said that in 1985, the Division received an anonymous letter from an employee at Merrill Lynch about insider trading. [read post]
5 Apr 2018, 9:27 am
Shean was previously registered with Merrill Lynch in New York, New York from March 1996 until March 1999, and LPL in Medford, Oregon from March 1999 until November 2017. [read post]
4 Apr 2018, 7:41 am
According to FINRA Disciplinary actions for March 2018, 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 Kean Lynn Bouplon Morgan Stanley Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
4 Apr 2018, 7:33 am
Barry Jones Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
28 Mar 2018, 9:50 am
According to FINRA records online, Kenneth Tyrrell was previously registered with Washington Square Securities, Merrill Lynch, First Union Brokerage Services, Wachovia Securities, UBS in Vienna, Virginia from November 2008 until September 2016, and Cary Street Partners in Richmond, Virginia from August 2016 until October 2017. [read post]
26 Mar 2018, 10:18 am
Edwards, Anchor National Financial Services, SunAmerica Securities, Merrill Lynch, LM Financial Partners, Raymond James, USAllianz Securities, Questar Capital Corp in Bismarck, North Dakota from December 2006 until August 2010, Woodbury Financial Services in Bismarck from August 2010 until December 2012 and Questar Capital Corp in Bismarck from December 2012 until December 2015. [read post]
26 Mar 2018, 8:58 am
Today's BrokeAndBroker.com Blog considers allegations that Merrill Lynch caused the wrongful death of one of its customers. [read post]
26 Mar 2018, 3:00 am
The SEC doesn’t disclose information that might identify a whistleblower – but according to this Reuters article, the trio earned their “WhoWantstobeaMillionaire.gov” payday for their assistance in an enforcement action involving Merrill Lynch that resulted in a $415 million settlement. [read post]
22 Mar 2018, 4:31 pm
The value of the two awards to three whistleblowers, whose reports led to a $415 settlement with Merrill Lynch, totaled roughly $83 million. [read post]
22 Mar 2018, 3:07 pm
The $83 million award represents 20% of the $415 million fine levied against Merrill Lynch (“Merrill”) by the SEC. [read post]
22 Mar 2018, 3:07 pm
The $83 million award represents 20% of the $415 million fine levied against Merrill Lynch (“Merrill”) by the SEC. [read post]
22 Mar 2018, 1:05 pm
Meier’s career in the securities industry dates back to the early 1980’s, including stints at Merrill Lynch, now defunct Thomson McKinnon, Prudential Securities, Citigroup — and most recently, Morgan Stanley — from June 2009 – April 2016. [read post]
