Search for: "Merril"
Results 701 - 720
of 5,261
Sort by Relevance
|
Sort by Date
16 Nov 2019, 6:58 pm
At the property rights panel, I discussed and debated the original meaning of constitutional protections for property rights with distinguished takings scholars Tom Merrill (Columbia), Richard Lazarus (Harvard), and my George Mason University colleague Eric Claeys. [read post]
15 Nov 2019, 11:56 am
Jonathan Elliott, Peoria, Arizona, Todd Bendell Merrill Lynch, Todd Bendell Scottsdale, cold calling, FINRA Johnathan Rankin, Merrill Lynch cold calling, The post 3 Merrill Lynch Brokers Reportedly Fired for Cold Calling appeared first on The White Law Group. [read post]
8 Nov 2019, 12:19 pm
The post Merrill Lynch, Raymond James to Pay $12 Million to Customers appeared first on The White Law Group. [read post]
8 Nov 2019, 5:26 am
Linan Abrego was registered with Merrill Lynch as a broker and financial advisor from December 6, 2016 to June 10, 2019 when she was terminated for cause by Merrill Lynch for “misappropriating client funds. [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 Classes / Firms Failed… [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4892/securities-industry-commentator/Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)As behemoth brokerage firms go zero-commission on trades, advisors are concerned (CNBC.com by Andrew Osterland)Ex-Merrill broker-turned-RIA settles CE cheating allegations (On Wall Street by Kenneth Corbin)SEC Dismisses… [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4889/securities-industry-commentator/Merrill Lynch Hit with $3.75 Million in Defamation Damages in Employment Dispute. [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]
22 Oct 2019, 1:34 pm
“Stifel is becoming the firm of choice for Merrill advisors looking for the halcyon days of what once was Mother Merrill. [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]
22 Oct 2019, 12:00 pm
Bank of America announced that Merrill Edge’s self-directed program will offer unlimited commission-free trades of stocks, ETFs and options for self-directed clients who are also enrolled in the bank’s Preferred Rewards, a program that gives clients additional benefits — like rewards on credit cards or preferential interest rates — for using multiple products and services at the company. [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 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 Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial Services… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co … [read post]
17 Oct 2019, 9:47 am
Merrills Memorial Conference. [read post]
15 Oct 2019, 9:08 am
Toby Merrill, Lecturer on Law, Harvard Law School. [read post]
7 Oct 2019, 9:17 am
Merrill, involving whether and when a candidate for office can challenge a rule limiting access to the ballot when the election in which he wanted to run has already passed; Integrity Staffing Solutions v. [read post]
4 Oct 2019, 8:38 am
featured in today's Securities Industry Commentator:Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq (BrokeAndBroker.com Blog)How Forced Arbitration Tipped the Scales (PBS / Season 1 Episode 1)Former Salesman Pleads Guilty In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock (DOJ Release)Federal Jury Convicts Owner of Bullion Direct, Inc. in Austin for Investment and Wire Fraud Scheme (DOJ Release)Monroe County Resident Charged… [read post]
4 Oct 2019, 8:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4844/securities-industry-commentator/Ponzi Scheme Promoter Sentenced to 22 Years in Federal Prison for $396 Million Scheme—The Largest Ever Charged in Maryland / Kevin Merrill Also Obstructed Justice After his Arrest; SEC Has Related Civil Action / Defrauded Investors Across the Country (DOJ Release)SEC Obtains Sanctions Against Lek… [read post]
4 Oct 2019, 8:38 am
In June 2019, Merrill Lynch Wealth Management President Andy Sieg boasted that his carrot-and-stick regi... [read post]
25 Sep 2019, 7:07 am
Merrill, issued on September 24. [read post]
