Search for: "Pierce, Fenner "
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20 Apr 2009, 7:07 pm
A motion by Merrill Lynch, Pierce, Fenner & Smith Inc. to stop two former financial advisers from using customer information they received while working at the investment firm has been denied. [read post]
24 Sep 2017, 7:34 am
According to BrokerCheck records Robert Yahney (Yahney), associated with Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to five customer complaints. [read post]
3 Oct 2018, 9:45 am
The securities attorneys at Gana Weinstein LLP are currently investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merill Lynch) broker Charles Kenahan (Kenahan). [read post]
23 Feb 2015, 3:09 pm
The Financial Industry Regulatory Authority recently censured Merrill Lynch Pierce Fenner & Smith and fined the firm $100,000, sanctions to which the firm consented. [read post]
24 Dec 2019, 7:19 am
According to FINRA Disciplinary actions for December 2019, 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 Bartley, Jevon Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Cross, Anita Gasser, Robert Barclays Capital Inc … [read post]
15 Jan 2014, 6:21 am
The Securities and Exchange Commission (SEC) instituted administrative proceedings against broker Ronald Gene Anglin (Anglin), formerly of Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
21 Sep 2009, 7:20 am
Texas will receive $1.6 million in the settlement with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
28 Jun 2018, 2:11 pm
His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. [read post]
4 Apr 2018, 7:41 am
According to FINRA Disciplinary actions for March 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 Kean Lynn Bouplon Morgan Stanley Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
19 Feb 2019, 2:04 pm
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Indianapolis, and UBS Painewebber Inc. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
28 Feb 2012, 5:25 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 2012 WL 592745 (7th Cir. 2012). [read post]
28 Jun 2012, 3:38 pm
The Financial Industry Regulatory Authority says that it is fining Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8M in the wake of certain alleged supervisory failures that the SRO says led to the financial firm billing clients unwarranted fees. [read post]
Merrill Lynch v. Manning: SCOTUS to Decide Scope of Federal Jurisdiction in Certain Securities Cases
15 Dec 2015, 6:00 am
On December 1, 2015, the Supreme Court heard argument in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
7 Oct 2011, 9:01 am
Bank of America subsidiary Merrill Lynch, Pierce, Fenner andamp; Smith Inc. has been fined $1 million by the Financial Industry Regulatory Authority, or FINRA, for failure to supervise one of its stockbrokers at its branch office in San Antonio, Texas. [read post]
11 Jul 2023, 11:12 am
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
2 Apr 2012, 10:00 pm
Rasnick FINRA recently announced that it fined Merrill Lynch, Pierce, Fenner & Smith (“Merrill”) one million dollars for failing to arbitrate claims with employees. [read post]
18 Jun 2018, 7:59 am
The securities attorneys at Gana Weinstein LLP are investigating claims against Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) broker Patrick McNamara (McNamara). [read post]
28 Jul 2015, 8:18 am
Our firm has been tracking the developments related to Thomas Buck’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under highly unusual circumstances. [read post]
