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21 Jun 2017, 8:50 am
From October 2009 until August 2011, Lech-Loubet was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
14 Jun 2017, 5:00 am
A new study conducted by Merrill Lynch identified that nearly half of Americans aged 50 and beyond will overextend themselves financially in order to enable their children to obtain a more comfortable life. [read post]
13 Jun 2017, 3:18 pm
Elsoffer entered the securities industry in 1994 and was only registered with Merrill Lynch, Pierce, Fenner & Smith, Inc. until November 2011. [read post]
12 Jun 2017, 1:12 pm
All broker-dealers (think Merrill Lynch, Edward Jones, LPL, Wells Fargo, and any company that employs a stockbroker) must be registered with the Financial Industry Regulatory Authority (FINRA), the Self-Regulatory Organization that is vested with the regulation of brokers and the enforcement of rules governing the brokerage industry. [read post]
12 Jun 2017, 1:12 pm
All broker-dealers (think Merrill Lynch, Edward Jones, LPL, Wells Fargo, and any company that employs a stockbroker) must be registered with the Financial Industry Regulatory Authority (FINRA), the Self-Regulatory Organization that is vested with the regulation of brokers and the enforcement of rules governing the brokerage industry. [read post]
19 May 2017, 8:59 am
The post Customer Disputes Against Merrill Lynch Broker Sylvester Knox appeared first on Stock Market Loss. [read post]
18 May 2017, 6:55 am
As of June 1st, Merrill Lynch will no longer pay sign-on bonuses for brokers. [read post]
17 May 2017, 6:42 am
From August 2009 until September 2010, Hudnall was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
14 May 2017, 6:04 am
Lionel Brooks, a registered representative from Cumberland, Rhode Island formerly with Merrill Lynch was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
12 May 2017, 5:30 am
On April 11, 2017 the Corporation Commissioner for the state of Arizona, acting through the Securities Division issued a cease and desist order against Ryan Miguel, a former registered representative with Merrill Lynch for violations of the Securities Act of Arizona, specifically section 44-1801. [read post]
3 May 2017, 9:53 am
According to FINRA Broker Check, Holovacko was registered with Merrill Lynch, Pierce, Fenner & Smith in Edison, NJ from November 2011 until September 2014 when he was discharged for “conduct involving misappropriation of funds”. [read post]
26 Apr 2017, 12:20 pm
The customers have been reimbursed by Merrill Lynch. [read post]
25 Apr 2017, 2:06 pm
A false Merrill Lynch identity was used as a cover for the email address. [read post]
20 Apr 2017, 10:17 am
Distilled even further, the dispute boils down to enough just not being enough.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, former Merrill Lynch employee Claimant Maile sought $1 in compensatory damages and an expungement of a “customer dispute occurrence” from his Central Registration Depository records (“CRD”). [read post]
20 Apr 2017, 9:03 am
Jeffrey Kluge, a 25-year veteran of Merrill Lynch in St. [read post]
13 Apr 2017, 10:43 am
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card You hear about the FINRA regulatory settlement involving the employee who submitted personal charges for reimbursement except he claimed that some mystery man had misused his credit card but then sought reimbursement anyway but later paid all the charges including a first-class-flight ticket even though he testified that he was forced to buy that first-class ticket because a supervisor kept him… [read post]
13 Apr 2017, 6:32 am
You hear about the FINRA regulatory settlement involving the employee who submitted personal charges for reimbursement except he claimed that some mystery man had misused his credit card but then sought reimbursement anyway but later paid all the charges including a first-class-flight ticket even though he testified that he was forced to buy that first-class ticket because a supervisor kept him late and he missed an earlier flight? [read post]
5 Apr 2017, 12:22 pm
By way of spoiler alert, today's BrokeAndBroker.com Blog features the FINRA regulatory settlement of a former Merrill Lynch rep who allegedly took home confidential customer information involving 100 accounts, and, after leaving the firm and the industry, tried to sell the info for $10,000. [read post]
4 Apr 2017, 2:37 pm
Merrill Lynch has plans to restructure the brokerage leadership, emphasize more on productivity and training, and reduce the number of divisions. [read post]
30 Mar 2017, 6:07 am
What are Structured Notes? [read post]
