Search for: "David Fenner"
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1 May 2014, 6:40 am
Claimants are found jointly and severally liable and shall pay Respondent Gunn $22,000.00 in compensatory damages for lost insurance trail income. 12-01106 Morgan Stanley Smith Barney LLC; Morgan Stanley Smith Barney FA Notes Holdings LLC David Joseph Ayres Respondent is liable for and shall pay to Claimant MSSB compensatory damages in the amount of $466,696.00. [read post]
21 Nov 2013, 8:02 am
David G. [read post]
3 Apr 2013, 12:47 pm
Churning claims arise out of the inherent conflict of interest involved because a financial advisor is compensated by commissions earned in buying and selling securities on behalf of a client. [read post]
1 Aug 2012, 5:51 am
David L. [read post]
19 Jul 2012, 2:48 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. (7th Cir. [read post]
26 May 2012, 10:54 pm
David Lerner & Associates also will have to reimburse them their $425 FINRA claim filing fee. [read post]
10 May 2012, 8:15 pm
Our securities fraud lawsuit against Merrill Lynch, Pierce, Fenner, & Smith involve allegations of overconcentration against David Zeng. [read post]
1 May 2012, 5:04 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012), which we analyzed in several earlier posts. [read post]
2 Feb 2012, 6:52 am
[*Hat tip to David Hargis.] [read post]
28 Jan 2012, 9:59 pm
The SEC is accusing First Resource Group LLC and its founder David H. [read post]
2 Aug 2011, 10:29 am
By David S. [read post]
2 May 2011, 11:23 pm
Matthew David Osborn, formerly with Edward Jones in Yreka, California, was suspended from association with any FINRA member for 10 business days and fined $5,000 in connection with exercising discretion in a customer account without the customer's authorization. [read post]
31 Dec 2010, 8:41 pm
Ernesto Zuniga Gomez, previously with Merill Lynch, Pierce, Fenner & Smith Incorporated in San Diego, CA, was named as a respondent in a FINRA complaint alleging that he created Verbal Authorization Forms (VAFs) that falsely represented that clients had given him verbal authorization to transfer client funds from their account to other client accounts, thereby misusing customer funds. [read post]
24 Sep 2010, 2:00 pm
Michael Fenner for drafting the brief. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
4 Aug 2009, 10:57 am
DAVID LERMAN, App. [read post]
18 Jul 2009, 7:31 am
This post is by my colleagues Mark Schonfeld, John Sturc, Barry Goldsmith, Eric Creizman, Jennifer Colgan Halter, Akita St. [read post]
20 Mar 2009, 9:00 am
(Spicy IP) Jurisdiction and forum non conveniens – IP: St Ives Laboratories v Arif Perfumers (Spicy IP) (Spicy IP) Extending fair use to academic works (International Law Office) Israel Keter Sacrimental Articles successfully cancels Indigo Tabernacle Industries’ patent for religious garment (The IP Factor) Israel Commissioner of Patents issues circular regarding requesting allowance of Israel patent based on issuance abroad that is under challenge (The IP Factor)… [read post]
26 Jul 2008, 4:58 pm
Splinter-Watkins, OT, HPCS** Triadfarms@aol.com Paris, KY David Laframboise, PT Level II d-laframboise@hotmail.com Sedalia, KY 42079 Colleen Ball, PT Level I cball@kort.com Bardstown, KY Rebecca Johnson, OT Level I rlj1@cardinalhill.org Versailles, KY Joanne Luciano, PT** Level I j.luciano@insightbb.com Lexington, KY Louisiana Anna Borne, SLP Level I eaborne@yahoo.co [read post]
14 May 2007, 8:03 am
Breyer, Ruth Bader Ginsburg and David H. [read post]
