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FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2020
3 Sep 2020, 8:38 am by Silver Law Group
  Merrill Lynch, Pierce, Fenner & Smith Incorporated   Elizabeth Sollars   Allstate Financial Services, LLC   Junior Tonkam   PFS Investments Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Institutional Investment Roundup: Madoff Ponzi Victims to Get 2nd Payout, Insurer’s MBS Lawsuit Against UBS Can Proceed, SEC Charges 2 in $10M Penny Stock Scam, & Hedge Fund Manager Found Guilty in $900K Insider Trading Scheme
29 Aug 2012, 12:10 pm
(MRVL), Polycom Inc., (PLCM), and Google Inc. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
Former Brookstreet Securities Broker Who Promoted Subprime Mortgages Commits Suicide
7 Jan 2012, 12:35 pm
Popper previously worked for four financial firms, including Merrill Lynch Pierce Fenner & Smith Inc. and Workman Securities Corp. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
Securities and Exchange Commission charges six Wall Street firms with widespread recordkeeping failures and improper use of text messaging in violation of securities laws. Total penalties exceed $1.1 Billion
28 Sep 2022, 8:06 am by jeffreynewmanadmin
;BofA Securities Inc. together with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Jesus Rodriguez Charged with Defrauding Advisory Clients 
26 Jan 2024, 8:27 am by The White Law Group
(CRD#:7059), EL PASO, TXB, 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX  Failure to Supervise  FINRA Rule 3110 specifically outlines the supervisory obligations of broker-dealers. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Ex-Cetera, UBS, and Spencer Edwards Brokers Barred
21 Jun 2019, 12:21 pm by ccollins
With 26 years in the industry, He has also been a registered broker for Wachovia Securities, First Union Brokerage Services, Merrill Lynch, and Chatfield Dean & Co. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Canntrust (CTST) Subject Of A Class Action Lawsuit
12 Aug 2019, 12:05 pm by Silver Law Group
The offering is being underwritten by Merrill Lynch, Citigroup, RBC Capital Markets, Credit Suisse, Jefferies, and Cannacord Genuity. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Securities Litigation and Enforcement Securities Arbitration Outline and Case Materials
13 Nov 2012, 11:54 am
Merril Lynch, Pierce Fenner andamp; Smith, Inc., 532 F. [read post]
Securities Arbitration Blog - http://www.securitiesarbitrations.com
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
25 Oct 2023, 12:49 pm by Silver Law Group
  Ramon Perez   Morgan Stanley   UBS Financial Services Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
New York Times Article Finds Hundreds of Instances When the SEC Waives Certain Sanctions For Big Wall Street Institutions
3 Feb 2012, 11:43 am by William McGrath
Bank of America and Merrill Lynch (now merged) settled 15 cases, but received 39 waivers. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
FINRA Fines 10 Brokerage Firms $43.5 Million For Conflicts of Interests in Toys “R” Us IPO
16 Jan 2015, 6:16 am by Adam Weinstein
– $4 million Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2022
28 Apr 2022, 8:28 am by Silver Law Group
  John Sommo   UBS Financial Services Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement June 2021
7 Jul 2021, 1:51 pm by Silver Law Group
  Michael Gopie   AXA Advisors, LLC   Merrill Lynch, Pierce, Fenner & Smith Inc   Cary Kievman   Ameriprise Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Investment Adviser Fiduciary Duty Standard Includes a Duty to Explain Investment Activity
20 Feb 2014, 12:32 pm by Kurt J. Schafers
Merrill Lynch Life Ins. [read post]
Cosgrove Law Securities and Investment Blog - http://securitiesandinvestmentblog.blogspot.com/
US Supreme Court Decides Stoneridge Investment Partners v. Scientifc-Atlanta; Limits Investor Fraud Lawsuits
17 Jan 2008, 5:50 am
Merrill Lynch, et al. (06-1341). ...Justice Anthony M. [read post]
Georgia Bankruptcy Law Blog - http://www.georgiabankruptcyblog.com/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2021
6 Dec 2021, 9:58 am by Silver Law Group
  LPL Financial Corporation   Juanita O’Neal   TD Ameritrade, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July 2023
4 Aug 2023, 7:34 am by Silver Law Group
  Christopher Polinaire   Network 1 Financial Securities Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Top Ten State Fraud Recoveries of 2021
21 Jan 2022, 2:17 pm by luiza
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]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
Top Ten State Fraud Recoveries of 2021
21 Jan 2022, 2:17 pm by luiza
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]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2021
22 Sep 2021, 8:30 am by Silver Law Group
  Lionel Scott   Arive Capital Markets   Cape Securities, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/