Search for: "Merrill Lynch"
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27 Apr 2022, 8:37 am
Merrill Lynch terminated Nicholas’ is employment on 7/29/20 after his voluntary resignation. [read post]
15 Apr 2022, 12:27 pm
Even having grown up in a religious household (my father was a Presbyterian minister), I had never been aware of the freighted nature of those words until about ten years ago, when my mother's financial advisor in Ohio left Merrill Lynch to set up his own firm, which he called Standing Firm Investments. [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Monmouth County Man Admits Orchestrating Multimillion-Dollar Accounts Receivable Factoring Scheme (DOJ Release)Colorado CEO and Fund Manager Admits to $11 Million Securities Fraud Scheme (SEC Release)Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for Fraudulent Forex and Digital Asset Scheme (CFTC Release)SEC Slaps Generic,… [read post]
3 Apr 2022, 9:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation CaseDong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6384/merrill-lynch-cma/Perhaps the last thing that Plaintiff in a federal lawsuit wants to hear from the judge is "I don't care. [read post]
18 Mar 2022, 8:52 am
Regulator inquires if Merrill Lynch, LPL Financial, and others are raising rates. [read post]
14 Mar 2022, 1:31 pm
Wall Street brokers such as UBS, Morgan Stanley and Merrill Lynch sold billions of dollars in complex “structured products or notes” to their retail customers in recent years. [read post]
7 Mar 2022, 7:24 am
LeBoeuf had begun conducting these transactions separate from his previous employment with Merrill Lynch. [read post]
1 Mar 2022, 3:16 pm
According to Advisor Hub, the Financial Industry Regulatory Authority has censured and imposed a $950,000 fine on Merrill Lynch Wealth Management for allegations that they engaged in ignoring flaws in its fraud detection systems allowed for two of their brokers to steal $6 million from clients. [read post]
1 Mar 2022, 9:45 am
According to his broker report, Elsoffer, was reportedly affiliated with the following firms during his career in the securities industry:11/21/2011 – 11/01/2018, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), PEPPER PIKE, OH, 03/16/1995 – 11/15/2011, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), PEPPER PIKE, OH Both registrations reportedly ended with termination after allegations, according to… [read post]
25 Feb 2022, 8:19 am
(CRD#:877), GLENDALE, AZ 01/03/2003 – 05/04/2009, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), SUN CITY, AZ When brokers violate securities laws, such as making unauthorized transactions or unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
22 Feb 2022, 1:58 pm
Morgan Securities LLC Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Forrest Jones Merrill Lynch, Pierce, Fenner & Smith Incorporated Fortune Financial Services, Inc. [read post]
22 Feb 2022, 12:09 pm
Christopher Ogbuehi Noe Ramirez III Merrill Lynch, Pierce, Fenner & Smith Incorporated Chase Investment Services Corp. [read post]
16 Feb 2022, 4:46 pm
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
11 Feb 2022, 8:25 am
According to his FINRA BrokerCheck profile, Darryl Cohen was affiliated with the following firms, during his career in the securities industry: 06/05/2015 – 04/08/2021, MORGAN STANLEY (CRD#:149777), WESTLAKE VILLAGE, CA, 05/16/2003 – 06/08/2015, WELLS FARGO ADVISORS, LLC (CRD#:19616), WESTLAKE VILLAGE, CA 02/28/1997 – 05/05/2003, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691),… [read post]
31 Jan 2022, 11:41 am
The swift firing of a Merrill Lynch financial advisor over an alleged bias incident at a Connecticut smoothie store serves to remind other FAs that they work in a high-profile industry, and there are consequences to bringing bad publicity to their employer’s doorstep. [read post]
31 Jan 2022, 8:44 am
(CRD#:249), LOS ANGELES, CA 09/15/2011 – 03/04/2014, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BEVERLY HILLS, CA 04/14/2008 – 09/16/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), LOS ANGELES, CA Potential Lawsuits to Recover Investment Losses Brokerage firms are required to properly supervise their advisors. [read post]
24 Jan 2022, 2:01 pm
According to FINRA Disciplinary actions for January 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 Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Inc Bradley Holts World Capital Brokerage, Inc. [read post]
21 Jan 2022, 2:17 pm
Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Markets Securities Inc., and Washington Mutual Mortgage Securities Corp., resolving allegations that the banks did not adequately disclose the characteristics of certain mortgage-backed securities sold to New Mexico pension funds and a state-run investment council between 2003 and 2010. [read post]
21 Jan 2022, 2:17 pm
Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Markets Securities Inc., and Washington Mutual Mortgage Securities Corp., resolving allegations that the banks did not adequately disclose the characteristics of certain mortgage-backed securities sold to New Mexico pension funds and a state-run investment council between 2003 and 2010. [read post]
