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21 May 2018, 12:56 pm
Unfortunately, a number of brokerage firms, including UBS Puerto Rico (UBS-PR), Santander Securities (SAN), Merrill Lynch, Banco Popular, and others inappropriately recommended these investments to tens of thousands of investors, many of whom were not apprised of the risks involved. [read post]
17 May 2018, 12:45 pm
Among the customers that were harmed: Citigroup Global Markets (C), Barclays Capital (BARC), Goldman Sachs (GS) Asset Management, Merrill Lynch Wealth Management, Morgan Stanley (MS), and others. [read post]
16 May 2018, 1:47 pm
Whatever it takes to cut costs. [read post]
15 May 2018, 1:21 pm
Previously, Camarco was employed at LPL Financial LLC from 2004 to 2017, Morgan Stanley DW Inc. from 2000 to 2004, and Merrill Lynch Pierce, Fenner & Smith Incorporated from 1993 to 2000. [read post]
10 May 2018, 6:00 am
Merrill believes that “This kind of transparency will fundamentally change how litigators evaluate arbitrator candidates. [read post]
10 May 2018, 6:00 am
Rick Merrill the Founder and CEO of Gavelytics. [read post]
8 May 2018, 11:11 am
Merrill Dow Pharms., Inc. analysis of critical testimony was required before granting certification. [read post]
8 May 2018, 8:55 am
Carlos Antonio Rodriquez UBS Financial Services Inc Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
7 May 2018, 1:16 pm
The case is pending, and Mardany is still with Merrill Lynch. [read post]
4 May 2018, 2:20 pm
Following Decedent’s death, Merrill Lynch & Co., Inc. [read post]
2 May 2018, 3:58 am
Robert Misey – Reinhart Boerner Van Deuren Bryan Mulkerron – Bank of America Merrill Lynch (Moderator) 9:45 a.m. to 11:15 a.m. [read post]
1 May 2018, 10:49 am
by Jeremy Lack, Deborah Masucci and Merril Hirsh Based on initial feedback from the Global Pound Conference, a Mixed Modes Task Force has been set up by the College of Commercial Arbitrators (CCA), the International Mediation Institute (IMI) and the Straus Institute for Dispute Resolution, Pepperdine School of Law to examine possible new ways of combining mediation with arbitration. [read post]
27 Apr 2018, 2:17 pm
Despite the risks embedded in options, particularly naked options, brokerage firms like Merrill Lynch, Morgan Stanley and UBS have reportedly presented some retail investors with opportunities to engage in sophisticated, highly complex options strategies, often fraught with risk. [read post]
26 Apr 2018, 6:28 am
Marcus Duane Parker, according to online, FINRA records, was previously registered with Dean Witter Reynolds, Thomson McKinnon Securities, Prudential Securities, Painewebber, Salomon Smith Barney, Merrill Lynch in Santa Fe, New Mexico from September 2001 until September 2008, and Wells Fargo in Santa Fe from September 2008 until December 2017. [read post]
25 Apr 2018, 2:06 pm
In Durcan, the decedent had originally created Individual Retirement Accounts that were held by the securities firm of Merrill Lynch. [read post]
23 Apr 2018, 1:20 am
As I noted at the time, on March 20, 2018, the U.S. [read post]
16 Apr 2018, 4:03 pm
This decision establishes important limits on SLUSA preclusion and the scope of the United States Supreme Court’s seminal SLUSA decision, Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
15 Apr 2018, 6:58 am
A recent FINRA regulatory settlement presents us with the puzzling scenario of three versions of the same event as told by the stockbroker, his employer, and the industry regulator. [read post]
13 Apr 2018, 8:19 am
Mersinger is Senior Vice President for Merrill Lynch/Bank of America. [read post]
11 Apr 2018, 9:51 am
In a separate complaint, O’Keefe, while registered with Merrill Lynch, was accused of making unsuitable investments and churning accounts. [read post]
