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20 May 2019, 9:11 am
After the filing of the first customer dispute alleging an unauthorized transfer of funds on 11/21/2019, Boggs was discharged from Merrill Lynch on 12/10/2018 following an internal investigation. [read post]
19 May 2019, 9:05 pm
The scientists in Utah focused on the use of such cookers at altitudes across their state, according to comments from Cathy Merrill, USU Extension faculty member and project lead on the research project. [read post]
19 May 2019, 1:05 pm
Cir. 2016); see In re Merrill Lynch, Pierce, Fenner, and Smith, Inc., 828 F.2d 1567, 1571 (Fed. [read post]
19 May 2019, 6:42 am
Born in Brooklyn, NY, in 1936, educated at Brooklyn College and receiving his doctorate at the University of Wisconsin, he studied under the great Merrill M. [read post]
18 May 2019, 10:31 am
These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
17 May 2019, 9:41 am
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4605/merrill-lynch-finra/In a recent FINRA public customer arbitration against Merrill Lynch, the FINRA Arbitration Panel dismissed the claims as being filed too late. [read post]
17 May 2019, 9:41 am
Cento Fine Foods sued by customers claiming San Marzano tomatoes are not authentic: reports (FoxBusiness.com) SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation (FINRA Press Release)Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)Josh Brown: T... [read post]
16 May 2019, 1:05 pm
Merrill, 53, pleaded guilty to conspiracy and wire fraud in connection with a company that invited investors to purchase consumer debt portfolios and falsely told them they would ... [read post]
16 May 2019, 10:53 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. [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]
13 May 2019, 4:00 am
In this episode, Nancy Merrill, a family lawyer and mediator, and now the President of the BC Law Society, talks about her vision for expanding alternative legal services in BC, and her hopes for change. [read post]
4 May 2019, 11:15 am
Newly published: Trial Films on Trial: Law, Justice, and Popular Culture (Austin Sarat, Jessica Silbey, and Martha Merrill Umphrey, eds., University of Alabama Press, 2019). [read post]
4 May 2019, 11:15 am
Newly published: Trial Films on Trial: Law, Justice, and Popular Culture (Austin Sarat, Jessica Silbey, and Martha Merrill Umphrey, eds., University of Alabama Press, 2019). [read post]
30 Apr 2019, 1:28 pm
From June 1998 until June 2017 Leavitt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
29 Apr 2019, 12:55 pm
., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
26 Apr 2019, 4:00 am
When companies can "muffl[e] grievance[s] in the cloakroom of arbitration," Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
26 Apr 2019, 1:47 am
FINRA Bars Former Merrill Lynch and Wells Fargo Rep. [read post]
25 Apr 2019, 11:59 am
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N.A. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 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 Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton Strategic Investment Services… [read post]
