Search for: "James A Merrill "
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6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise Financial Services, Inc … [read post]
1 Jul 2019, 12:43 pm
Citigroup Global Markets Inc Merrill Lynch, Pierce, Fenner & Smith Inc Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
16 May 2019, 8:31 am
Health Insurance Innovations raised more than $65 million with its public offering, which used underwriters Citigroup Global Markets, Credit Suisse Securities USA, BofA Merrill Lynch, and Raymond James Financial. [read post]
16 May 2019, 7:37 am
The lawsuit’s complaint alleges that the company made false and misleading statements on several important matters, including that: A significant amount of the company’s revenue came from third parties The third parties allegedly used deceptive tactics to sell Health Insurance Innovations’ policies Regulatory inspection of the third parties would materially impact the company’s operations Health Insurance Innovations raised more than $65 million with its public offering,… [read post]
19 Apr 2019, 5:59 am
April 16, 2019Appellate Division, Second Department Appellate Division holds that Indian Child Welfare Act applies to Neglect Proceeding and Shinnecock Tribe had right to intervene In Matter of Durpee M, v Samantha Q., 2019 WL 1461831 (2d Dept., 2019) the mother and her husband (father) were the parents of the child, who was born in January 2017. [read post]
15 Apr 2019, 2:35 pm
,” said Carole James, Minister of Finance. [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 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 Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities, Inc Global… [read post]
15 Mar 2019, 6:26 am
For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
15 Mar 2019, 6:26 am
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4493/merrill-lynch-finra/For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
1 Feb 2019, 10:37 am
Merrill Jr., 78, of Richardson, died December 30, 2018. [read post]
1 Feb 2019, 10:37 am
Merrill Jr., 78, of Richardson, died December 30, 2018. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities … [read post]
17 Jan 2019, 7:58 pm
UPDATE: Texas Supreme Court denied review 5/24/2019 CLAIM-FRACTURING CUM APPELLATE GALORE Natgasoline LLC v. [read post]
10 Jan 2019, 8:47 am
According to Levine’s BrokerCheck record, he previously worked with Prudential Securities, Merrill Lynch, and UBS (UBS). [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith… [read post]
28 Dec 2018, 2:22 pm
Over 25 years ago, the United States Supreme Court answered a narrow legal question about whether the so-called Frye rule was incorporated into Rule 702 of the Federal Rules of Evidence. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The Benchmark Company, LLC Intl… [read post]
