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8 Aug 2022, 4:02 am
TAT Capital Partners, Ltd, Defendant/Respondent (Opinion, Court of Appeal for the State of California)Former Investment Adviser Sentenced to Five Years for Defrauding his Clients of More than $7 Million (DOJ Release)Order Determining Whistleblower Award Claims <a href="#mendez">FINRA Bars Merrill Lynch NRF for Overtime CompensationIn the Matter of Jolam Mendez, Respondent (FINRA AWC)</a><a href="#stoakes">FINRA Fines and Suspends Rep for… [read post]
8 Aug 2022, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6599/securities-industry-commentator/Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)Case Allowed to Move Forward Against RobinhoodIn re: January 2021 Short Squeeze Trading Litigation (Securities Tranche) (Order, SDFL)Vancouver, Washington 'Investment Advisor' pleads guilty to… [read post]
3 Aug 2022, 10:56 am
» The post Ernest Frerking, Merrill Lynch Broker Barred from Securities Industry appeared first on The White Law Group. [read post]
2 Aug 2022, 9:01 pm
Merrill Lynch & Co., 396 F.3d 161, 177 (2d Cir. 2005). [5] Lorenzo, 139 S. [read post]
1 Aug 2022, 1:39 pm
, In re Merrill Lynch, Pierce, Fenner, & Smith, Inc., 828 F.2d 1567, 1569 (Fed. [read post]
27 Jul 2022, 2:38 pm
Once Merrill Lynch found out otherwise, in July 2020, Merrill Lynch fired him. [read post]
27 Jul 2022, 10:04 am
Stewart was charged alongside her former Merrill Lynch broker, Peter Bacanovic, for their involvement in a sale of $230,000 worth of ImClone Systems stock just one day before the FDA announced that it would not review the company’s cancer drug application. [read post]
22 Jul 2022, 9:06 am
Merrill Lynch & Co., 396 F.3d 161 (2d Cir. 2005), which holds that conduct that amounts solely to misstatements and omissions cannot form the basis for scheme liability. [read post]
Love the One You Whiff: A Federal Case Involving Two Sets of Golf Clubs and a Winged Foot Membership
18 Jul 2022, 4:06 am
Today's featured lawsuit is about a guy who almost made it onto the PGA tour, but then wound up playing through at Merrill Lynch, Lehman Brothers, UBS; and, among the divots in his life was an $850,000 debt owed to UBS and a $1 million debt owed to a family office. [read post]
5 Jul 2022, 12:24 pm
This office model is still common in the large “wire house” brokerages like Merrill Lynch and Morgan Stanley. [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
20 Jun 2022, 7:29 am
Candella served as a client associate for Merrill Lynch – Bank of America’s Wealth Management Department, providing risk assessments, financial analysis, research, and account management support for high-net worth investors. [read post]
10 Jun 2022, 2:55 am
See Merrill Lynch, 4 USPQ2d at 1143. [read post]
8 Jun 2022, 9:01 pm
Thank you, Rich (Repetto), for that kind introduction. [read post]
1 Jun 2022, 1:32 pm
The claim also named Merrill Lynch, Valenzuela’s previous employer as a defendant. [read post]
1 Jun 2022, 11:12 am
According to Valenzuela ‘s Brokercheck report, in March 2022, the customer reportedly dismissed the claims against Merrill Lynch after the firm apparently agreed to pay $90,000 in settlement. [read post]
1 Jun 2022, 11:12 am
According to Valenzuela ‘s Brokercheck report, in March 2022, the customer reportedly dismissed the claims against Merrill Lynch after the firm apparently agreed to pay $90,000 in settlement. [read post]
1 Jun 2022, 11:12 am
According to Valenzuela ‘s Brokercheck report, in March 2022, the customer reportedly dismissed the claims against Merrill Lynch after the firm apparently agreed to pay $90,000 in settlement. [read post]
1 Jun 2022, 9:16 am
According to FINRA Disciplinary actions for May 2022, the following individuals were barred 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 Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
19 May 2022, 12:59 pm
(CRD#:8174), WACO, TX 02/08/1991 – 03/19/1996, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), NEW YORK, NY Potential Lawsuits to Recover Financial Losses The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Turner’s employers may have for failure to properly supervise him. [read post]
