Search for: "James A Merrill "
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31 Oct 2014, 10:37 am
October 31, 2014 – In April 2014, Massachusetts Secretary of State, William Galvin, filed a complaint against Carlos Wanzeler and James Merrill, alleging that their company, TelexFree, Inc., was operated as a Ponzi scheme. [read post]
25 Apr 2015, 4:21 am
McIntosh, James J. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share… [read post]
4 Apr 2007, 7:17 am
James Brown, Daniel Bayly and Robert Furst will be retried. [read post]
27 Dec 2014, 10:44 am
Markoski was terminated from Merrill Lynch, he moved to David A. [read post]
18 Nov 2014, 6:37 am
(Merrill). [read post]
5 Mar 2007, 1:54 pm
"The volume and complexity of discoverable material is expanding rapidly," said Mike James, President, Merrill Legal Solutions. [read post]
12 Jul 2010, 11:00 pm
James Brown Supplemental Memorandum in Support of Motion for a New Trial [read post]
19 Feb 2021, 11:25 am
(CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. [read post]
22 Jun 2009, 7:34 pm
Susan Merrill, the FINRA enforcement chief, says the two firms exposed the market to an individual that was non-registered, unqualified, unsupervised, and was not allowed to work in the securities industry. [read post]
14 Jan 2012, 8:52 am
This will rank it third behind Morgan Stanley Smith Barney and just under Bank of America Corp.'s (BAC) Merrill Lynch. [read post]
12 Sep 2011, 6:30 am
Merrill, and Henry E. [read post]
10 Nov 2008, 11:17 am
In November 2000, almost every employee in the office abruptly resigned and moved to Merrill Lynch. [read post]
23 Nov 2010, 7:56 am
Allison was a former top executive with Merrill Lynch Canada. [read post]
29 Oct 2007, 9:06 am
CNBC had a report this afternoon on Stan O'Neal's golfing, claiming that he was pulling a Nero while Merrill burned. [read post]
1 Sep 2007, 10:00 pm
Economist James Buchanan won a Nobel Prize for his work on applying economics to explain how incentives impact the behavior of government officials. [read post]
12 Jul 2021, 7:00 am
I am always please to see long term knowledge and library colleagues including June Liebert, Holly Riccio, Katherine Lowery, James Duggan and Nikki Shaver included in the roster. [read post]
30 Dec 2007, 12:55 am
Merrill, a journalism professor, plagiarized, and many journalists came to his defense.Thus, of your --But to their culture, plagiarism cannot be a stigma.-- one could say--But in our culture, plagiarism is not a stigma, either-- Like they say at the Harvard Business Review: plagiarize with pride! [read post]
5 Oct 2009, 5:04 pm
The brokerage firms who have agreed to participate in the pilot program are: Ameriprise Financial Services Charles Schwab Chase Investment Services Citigroup Global Markets Edward Jones Fidelity Brokerage Services LPL Financial Merrill Lynch Morgan Stanley Smith Barney Oppenheimer Raymond James TD Ameritrade UBS Financial Services Wells Fargo Advisors / Wachovia Securities Each of the above firms has committed to participate in a limited number of cases under the program on a… [read post]
5 Jul 2007, 10:20 am
The number of fines levied against broker-dealers is about to increase with the abolition of the "Merrill" Rule. [read post]
