Search for: "Jeffrey Merrill"
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27 Oct 2020, 7:54 am
This post is the first in a five-part series on litigation about mail voting during the 2020 general election. [read post]
27 Oct 2020, 7:54 am
This post is the first in a five-part series on litigation about mail voting during the 2020 general election. [read post]
14 Oct 2020, 5:36 am
Then he was a broker with Painewebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, and Gunnallen Financial. [read post]
14 Oct 2020, 5:36 am
Then he was a broker with Painewebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, and Gunnallen Financial. [read post]
29 Jul 2020, 12:44 pm
Jeffrey Hill Wells Fargo Advisors Dougherty & Company LLC Tracy Kirby Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc David Moxom UBS Financial Services Inc. [read post]
28 Jun 2020, 10:07 am
(VALIC) employed Jeffrey Hausinger (Hausinger) to sell annuity products to Hillsborough County school system employees. [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
20 Feb 2020, 9:05 pm
Viscusi and Jeffrey noted that the compensation amount for wrongful deaths by police officers are well below the value that other government regulations outline for other wrongful deaths. [read post]
20 Feb 2020, 9:05 pm
Viscusi and Jeffrey noted that the compensation amount for wrongful deaths by police officers are well below the value that other government regulations outline for other wrongful deaths. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
1 Nov 2019, 4:53 am
In the Matter of the Arbitration Between Jeffrey T. [read post]
1 Nov 2019, 4:53 am
In the Matter of the Arbitration Between Jeffrey T. [read post]
22 Oct 2019, 12:22 pm
Ameriprise Financial Services NBC Securities Jeffrey Lundstrom Signator Investors, Inc Transamerica Financial Advisors Uriah Mitchell JP Morgan Securities Raymond Montchal Morgan Stanley Citigroup Global Markets Robert Neuedorf David Lerner Associates Merrill Lynch, Pierce, Fenner & Smith Silver Law Group represents investors in securities and investment fraud cases through FINRA… [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
9 Jul 2019, 7:52 am
Court of Appeals for the First Circuit, on an issue of first impression at the federal appellate level, recently held that the Merrill doctrine – which prevents federal government instrumentalities from being bound by the unauthorized acts of their agents – applies to… Jeffrey Karek [read post]
5 Jun 2019, 6:33 am
According to BrokerCheck records financial advisor Jeffrey Smith (Smith), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Smith) has been subject to at least eight customer complaints during the course of his career. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities Concorde Investment… [read post]
25 Apr 2019, 11:59 am
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N.A. [read post]
8 Mar 2019, 8:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4480/securities-industry-commentator/SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)Good Intentions Pave Merrill Lynch Stockbroker's Retirement… [read post]
1 Feb 2019, 10:37 am
Merrill Jr., 78, of Richardson, died December 30, 2018. [read post]
