Search for: "Merrill Lynch Capital Services, Inc." Results 81 - 100 of 176
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10 Jan 2019, 12:53 pm by Renae Lloyd
Merrill Lynch – In December, Merrill Lynch had to pay almost $6 million for improper sales of initial public offerings, over an eight year period (2010 and 2018). [read post]
3 Jan 2019, 5:54 am by Silver Law Group
Inc   Flores, Daniel   Woodbury Financial Services, Inc   Princor Financial Services Corp   Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc   David Lerner Assoc, Inc   Heitz, Donald   LPL Financial LLC   First Command Financial Planning, Inc   Jenkins, Elisabeth   LPL Financial LLC   ESL Investment Services, LLC   Krize, Joshua… [read post]
3 Jan 2019, 5:48 am by Silver Law Group
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,… [read post]
18 Dec 2018, 11:12 am by Silver Law Group
  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… [read post]
18 Dec 2018, 11:03 am by Silver Law Group
Morgan Securities LLC   Virginia Nichols   LPL Financial LLC   Merrill Lynch, Pierce, Fenner & Smith Inc   Michael Nickoli   AXA Advisors, LLC   NML Investors, LLC   Jeffrey Offen   Craft Capital Management LLC   Salomon Whitney Financial   Issac Onu   NY Life Securities LLC   Wells Fargo Advisors, LLC   Michael Resciniti   Spartan Capital Securities, LLC   First Standard… [read post]
14 Nov 2018, 2:54 pm by ccollins
They are: · Former Merrill Lynch broker Terrance Hood · Ex-RBC Capital Markets broker Jonathan Freehill · Former Signator Investors broker Dennis Ferwerda Ex-Merrill Lynch Broker Accused of Falsifying Receipts Terrance Hood was a Merrill Lynch broker in San Antonio, Texas. [read post]
26 Oct 2018, 7:31 am by Silver Law Group
Cole Financial, Inc   Keven Gayle   NYLife Securities LLC   Jose Giraldo   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America NA   Cristhelle Medina   J.P. [read post]
26 Oct 2018, 7:27 am by Silver Law Group
Morgan Securities LLC   Bustamante Family Legacy LLC   Daniel Flores   Woodbury Financial Services, Inc   Princor Financial Services Corporation   Jose Giraldo   Merrill Lynch, Pierce, Fenner & Smith Inc   David Lerner Associates, Inc   Joshua Krize   Wells Fargo Clearing Services, LLC   Country Capital Management Company   Francine Lanaia   Windsor Street… [read post]
2 Oct 2018, 5:48 am by Silver Law Group
  Alan Garett   Fidelity Brokerage Services LLC   Ramon Herrera   Wells Fargo Clearing Services, LLC   Mandee Khu   JP Morgan Securities LLC   Chase Investment Services Corp   John Maccoll   UBS Financial Services Inc   Morgan Stanley DW Inc. [read post]
2 Oct 2018, 5:40 am by Silver Law Group
  Robin Lomont   Jeffrey Offen   Craft Capital Management LLC   Salomon Whitney Financial   Shawn Palmer   LPL Financial LLC   Woodbury Financial Services, Inc   Somning Pheth   Wells Fargo Clearing Services, LLC   Wells Fargo Bank NA   Phillip Schreiner   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
21 Aug 2018, 5:17 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp    Joshua David Ellis   LPL Financial LLC   BCG Securities, Inc    James Benjamin Farris   Merrill Lynch, Pierce, Fenner & Smith Inc   UBS Financial Services Inc   Samuel LaWayne Haddix   Ameriprise Financial Services, Inc   IDS Life Insurance Company   Mark Anthony Hernandez   UBS Financial… [read post]
20 Aug 2018, 3:47 pm by ccollins
Up to 60 brokerage firms have sold the GPB funds, including Advisor Group broker-dealers Sagepoint Financial Inc., FSC Securities Corp., Royal Alliance Associates, Inc., and Woodbury Financial Services Inc. [read post]
4 Jun 2018, 6:30 am by Silver Law Group
Bancorp Investments, Inc   Michael Jay Novick   Morgan Stanley   Beverly Hills Wealth Management, LLC   David Warren Olson   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith Inc   Jason Charles Parker   LPL Financial LLC   Edward Jones   James Albert Pettit   Ameriprise Financial Services, Inc   Janney Montgomery Scott LLC   Jose Aloisio Teles   Nomura Securities… [read post]
12 Jan 2018, 8:48 am by Silver Law Group
  Merrill Lynch, Pierce, Fenner & Smith Inc   Casey Thomas Rodriguez   Arive Capital Markets   Chelsea Financial Services   David Edward Smith   The Huntington Investment Company   Clint Herrison Stoffels   UBS Financial Services Inc. [read post]
10 Jan 2018, 4:40 pm by Silver Law Group
  Worden Capital Management LLC   Dawei Wang   Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
28 Sep 2017, 12:22 pm by Mark Astarita
Calamari’s tenure as Regional Director, the New York office has brought many significant enforcement actions, including charges against:National audit firm BDO USA for dismissing red flags and issuing false and misleading unqualified audit opinions about the financial statements of staffing services company General Employment Enterprises           Pharmaceutical company Allergan Inc. for disclosure failures in the wake of… [read post]