Search for: "Merrill Lynch"
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13 Jan 2022, 8:59 am
Before that, he was a Merrill Lynch stockbroker and investment advisor. [read post]
11 Jan 2022, 7:40 am
Two Merrill Lynch Brokers Stole More Than $6M from 13 Clients In December 2021, the Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch in two separate matters. [read post]
4 Jan 2022, 10:06 am
(CRD#:5979) of Duluth, GA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
27 Dec 2021, 9:38 am
BB&T Securities, LLC Noe Ramirez III Merrill Lynch, Pierce, Fenner && Smith Incorporated Chase Investment Services Corp. [read post]
22 Dec 2021, 6:51 am
” The FINRA sweep previously “also hit Merrill Lynch, which paid the lion’s share of the penalties with $11.65 million in fines and restitution, as well as Stifel Nicolaus & Co., Cambridge Investment Research, and Oppenheimer & Co. [read post]
14 Dec 2021, 9:00 am
In addition to the two Wells Fargo divisions, FINRA identified similar supervisory failures in four other firms including Stifel Nicolaus, Oppenheimer, Merrill Lynch and Citigroup. [read post]
6 Dec 2021, 9:58 am
Scarlett Ramsey NYLife Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Timothy Williams Edward Jones For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
3 Dec 2021, 1:29 pm
Previously, he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Arlington, TX, Banc Of America Investment Services, Inc. [read post]
2 Dec 2021, 7:03 am
(CRD#:7059), EL PASO, TX 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Recovery of Investment Losses The White Law Group is investigating the liability that Rodriguez’s former employer may have for failure to monitor his activities. [read post]
16 Nov 2021, 12:30 pm
” Acting as governor since 1993, Salameh has continually denied the allegations against him, attributing his fortune from his job as a banker at Merrill Lynch and inheritance. [read post]
8 Nov 2021, 1:27 pm
Paul Vizanko Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
8 Nov 2021, 1:01 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Incorporated Bradley Holts World Capital Brokerage, Inc. [read post]
5 Nov 2021, 1:58 pm
Troice narrowed Merrill Lynch, Pierce, Fenner & Smith v. [read post]
3 Nov 2021, 7:14 am
According to Advisor Hub and other industry news sources the Financial Industry Regulatory Authority levied sanctions against Merrill Lynch and two of its brokers over allegedly early rollovers of Unit Investment Trusts. [read post]
3 Nov 2021, 6:12 am
Rahn was previously registered with Deutsche Bank Securities, Morgan Stanley & Co, and Merrill Lynch, Pierce, Fenner & Smith between 1992 and 2010, as reported on his Brokercheck page. [read post]
3 Nov 2021, 6:12 am
Rahn was previously registered with Deutsche Bank Securities, Morgan Stanley & Co, and Merrill Lynch, Pierce, Fenner & Smith between 1992 and 2010, as reported on his Brokercheck page. [read post]
3 Nov 2021, 6:12 am
Rahn was previously registered with Deutsche Bank Securities, Morgan Stanley & Co, and Merrill Lynch, Pierce, Fenner & Smith between 1992 and 2010, as reported on his Brokercheck page. [read post]
23 Oct 2021, 6:32 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6131/securities-industry-commentator/Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To (BrokeAndBroker.com Blog)SEC Charges Fixed Income Clearing Corp. [read post]
23 Oct 2021, 6:32 am
Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6135/finra-merrill-promotion/In a recent employment dispute, Merrill Lynch argued that although they had intended to promote an employee, they could not have promoted the employee, but that they had the right to decide not to promote him even if they couldn't;… [read post]
20 Oct 2021, 7:03 am
Bartman opened in 2016 with Merrill Lynch, Pierce, Fenner & Smith, ... [read post]
