Search for: "James R. Lynch" Results 1 - 20 of 260
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5 Aug 2016, 10:47 am by rexsecuritieslaw
Lambert-Raymond James Broker-Discloses Pending Customer Arbitration → The post Debra R. [read post]
8 Nov 2019, 12:19 pm by Renae Lloyd
Merrill Lynch & Raymond James Sanctioned for Alleged 529 Plan Violations According to the Financial Industry Regulatory Authority (FINRA), Merrill Lynch, Raymond James & Associates and Raymond James Financial Services have reportedly agreed to pay a combined $12 million in restitution to customers for alleged 529 savings plan violations. [read post]
22 Jan 2018, 8:14 am
Asks Sharyl Attkisson (at The Hill).Former Attorney General Loretta Lynch knew well in advance of FBI Director James Comey's 2016 press conference that he would recommend against charging Hillary Clinton, according to information turned over to the Senate Homeland Security Committee on Friday.The revelation was included in 384 pages of text messages exchanged between FBI officials Peter Strzok and Lisa Page, and it significantly diminishes the credibility of… [read post]
29 Aug 2016, 1:08 pm by Fitapelli Kurta
In 2013, a customer alleged James Lewis, while employed at Merrill Lynch, executed unauthorized trades. [read post]
23 Sep 2014, 12:24 pm by D. Daxton White
According to InvestmentNews, Bank of America Merrill Lynch asked two veteran advisors, James Goetz and Stephen Brown, to resign for allegedly recommending clients invest outside the firm. [read post]
19 Apr 2018, 5:57 am by Stephen Green
Ron DeSantis (R-FL) and 10 other congressman sent a letter to Attorney General Jeff Sessions recommending a criminal investigation into such extra-constitutional, bureaucrat, actors as Loretta Lynch, Hillary Clinton, James Comey and Andrew McCabe. [read post]
19 Nov 2015, 5:00 am by Mark Astarita
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
14 Jun 2016, 11:38 am by Fitapelli Kurta
According to his BrokerCheck report, James Goetz is the subject of one FINRA complaint and was discharged from Merrill Lynch. [read post]
15 Jul 2016, 2:31 pm by Robert Van De Veire
Amalfitano moved to Raymond James after stints at Citigroup and Merrill Lynch. [read post]
15 Mar 2019, 6:26 am
For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
12 Jun 2011, 4:02 pm by Peter Tillers
See James Chadbourn, Lynching and the Law (1933), reprinted in 2008 by the Lawbook Exchange, Ltd.; James Chadbourn, "Lynching and the Law," 20 American Bar Association Journal 71 (1934); Note (by James Chadbourn), "Plan for Survey of Lynching and the Judicial Process," 9 North Carolina Law Review 330 (1931). [read post]
5 Nov 2019, 5:30 am by Kevin
 See James Cutler, Lynch-Law at p. 13–40 (1905). [read post]
13 May 2016, 11:15 am by Fitapelli Kurta
In 1997, a customer alleged that James Noto, while employed at Merrill Lynch, recommended a bond swap that was not beneficial. [read post]