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14 Feb 2019, 8:33 am
We currently represent or have previously represented investors that bought Puerto Rico investments through Merrill Lynch (BSC), Barclays (BARC), Santander Securities (SAN), UBS Puerto Rico (UBS-PR), GMS, and many other broker-dealers. [read post]
14 Feb 2019, 8:31 am
This week we hear from: Ben Shelley – Intelligent Voice Rick Merrill – Gavelytics Serena Wellen – LexisNexis Context Matt Spiegel – Lawmatics Information Inspirations: Warning: Greg goes to a bit of a dark place this week after a dreadful morning of social media experiences. [read post]
13 Feb 2019, 6:30 am
Election Assistance Commission; Alex Padilla, Secretary of State, California; Noah Praetz, Former Director of Elections, Cook County, Illinois; Jake Braun, Executive Director, Cyber Policy Initiative; and John Merrill, Secretary of State, Alabama. [read post]
11 Feb 2019, 9:09 am
LAW LIBRARY level 3: K376 .L3554 2018Austin Sarat, Lawrence Douglas & Martha Merrill Umphrey, eds., Law and Performance (Amherst: University of Massachusetts Press, 2018). [read post]
9 Feb 2019, 6:43 am
In today's featured FINRA regulatory settlement, a former employee of an unnamed bank is barred because of her alleged misconduct at that unnamed bank, and, well, odd, but, Wall Street's fearless self-regulatory-organization seems fearful to name the bank by name. [read post]
7 Feb 2019, 11:39 am
Ben Dembla – (Bhenoy Dembla) – Merrill Lynch – Chicago, IL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Ben Dembla (CRD#4357042) from associating with any FINRA member at any time. [read post]
7 Feb 2019, 9:46 am
Merrill Lynch has since paid customers that were affected nearly $32K in restitution. [read post]
6 Feb 2019, 5:26 am
In today's featured FINRA regulatory settlement, we come across a Merrill Lynch iconoclast who aspired to fly beneath his firm's compliance radar. [read post]
5 Feb 2019, 5:55 pm
In particular, SSEK has worked with investors who purchased Puerto Rico investments from Popular Securities, UBS Puerto Rico (UBS-PR), Oriental Bank, Morgan Stanley (MS), Santander Securities (SAN), Barclays (BARC), Merrill Lynch (BSC), GMS and many others. [read post]
5 Feb 2019, 2:26 pm
Merrill Lynch Pierce Fenner & Smith Inc., FINRA Office of Dispute Resolution Case No.: 18-00845. [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]
31 Jan 2019, 8:04 am
The Financial Industry Regulatory Authority (FINRA) has oversight over all major brokerage firms operating in the United States (including UBS Financial Services, Credit Suisse, Merrill Lynch and Morgan Stanley), and these firms are required to arbitrate loss claims filed by individual investors. [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]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip JP… [read post]
25 Jan 2019, 9:48 am
The former Merrill Lynch broker, Eva Weinberg, and her lover Michael Stern were sentenced to time in prison for the fraud. [read post]
22 Jan 2019, 1:08 pm
Continue reading The post Broker Ralph Byer Of Merrill Lynch Has Seven Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
18 Jan 2019, 2:07 pm
The new deals Wells Fargo is offering resemble those that wirehouses such as Merrill Lynch, Morgan Stanley, and UBS used to make, during the peak of recruiting frenzies. [read post]
18 Jan 2019, 9:22 am
You know how something bothers you but you decide to try and ignore it, but the longer you try to ignore it, the more it bothers you? [read post]
