Search for: "Merrill Lynch Financial Markets Inc. "
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28 Sep 2016, 8:27 am
The Financial Industry Regulatory Authority fined Merrill Lynch on behalf of the three largest U.S. exchange operators an additional $3 million for the infractions. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
22 Jun 2016, 2:17 pm
Merrill Lynch Pierce Fenner & Smith Inc., NASD Case No. 97-01469. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS Securities, L.L.C.; E*TRADE… [read post]
2 May 2016, 6:43 am
The Fresh Market, Inc., No. 16-CVS-4144 (N.C. [read post]
22 Feb 2016, 4:36 pm
That all started to change after the stock market crash of 1929 triggered the Great Depression. [read post]
16 Feb 2016, 12:06 pm
While investors have suffered alarming losses in the oil and natural gas related investments, broker-dealers such as Citigroup, Barclays, Wells Fargo, Bank of America Merrill Lynch, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and JP Morgan have made approximately $1.1 billion in fees and commissions from selling these products. [read post]
3 Jan 2016, 4:32 am
From November 2006 through June 2009, Giusti was associated with Citigroup Global Markets Inc. [read post]
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
18 Nov 2015, 5:53 am
From June 1997, until June 2005, Giannone was associated with Citigroup Global Markets Inc. [read post]
27 Aug 2015, 8:02 am
Co-managers on the transaction are Bank of America Merrill Lynch and Barclays Capital Inc. [read post]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc… [read post]
11 May 2015, 9:03 am
Cicolani was the subject of approximately 70 customer complaints at his previous broker-dealer Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
16 Jan 2015, 6:16 am
– $4 million Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
20 Mar 2014, 9:54 am
Merrill Lynch Pierce Fenner & Smith Inc.; Merrill Lynch Trust Co. [read post]
20 Feb 2014, 12:32 pm
Merrill Lynch Life Ins. [read post]
4 Feb 2014, 11:00 pm
As many as nine current and former employees of McGraw Hill Financial Inc. [read post]
