Search for: "Merrill Lynch, Pierce, Fenner " Results 1 - 20 of 437
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31 Mar 2020, 12:38 pm by Blum Law Group
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
10 Jul 2017, 12:59 pm by Renae Lloyd
Merrill Lynch, Pierce, Fenner & Smith Incorporated was formerly known as Merrill Lynch Pierce Fenner & Smith, Inc. [read post]
15 Jun 2018, 7:23 am by Renae Lloyd
      The post Merrill Lynch, Pierce, Fenner & Smith Inc. to pay $15 Million appeared first on White Securities Law. [read post]
7 Aug 2017, 9:16 am by Renae Lloyd
        The post Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined and Censured appeared first on White Securities Law. [read post]
11 Mar 2009, 1:44 pm
The SEC charged Merrill Lynch, Pierce, Fenner & Smith Inc. with securities laws violations for having inadequate policies and procedures for controlling access to institutional customer order flow. [read post]
9 Jun 2014, 9:28 am by Patricia W. Moore
The opinion of the Massachusetts Appeals Court begins: The plaintiffs appeal from the denial of their motion for sanctions against Bingham McCutchen LLP (Bingham), intervener, the law firm that defended Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
26 Jan 2012, 9:00 am by SECLaw Staff
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
17 May 2016, 7:47 am by Robin Effron
Yesterday, the Supreme Court issued a unanimous decision in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
25 Jan 2012, 1:47 pm by Securites Lawprof
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
4 Oct 2011, 12:10 pm by Securites Lawprof
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
18 Dec 2014, 6:38 am by Kate Maddox
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer transactions in distressed securities over a two-year time period. [read post]
27 Aug 2018, 10:22 am by Silver Law Group
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
23 Feb 2015, 3:09 pm by Robert Van De Veire
The Financial Industry Regulatory Authority recently censured Merrill Lynch Pierce Fenner & Smith and fined the firm $100,000, sanctions to which the firm consented. [read post]
7 Dec 2016, 11:03 am by Kate Maddox
On November 30, 2016, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and ordered the firm to pay approximately $780,000 in restitution for inadequately supervising its customers’ use of leverage in their Merrill brokerage accounts. [read post]
22 Jan 2019, 1:08 pm by Silver Law Group
Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. [read post]
11 Jul 2014, 7:04 am by ekrause
FINRA announced last month that they fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for failing to waive mutual fund sales charges for certain charities and retirement accounts. [read post]
14 Jun 2018, 11:39 am by Jeffrey A. Newman
Merrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to end S.E.C. charges that its employees misled customers into overpaying for Residential Mortgage Backed Securities (RMBS). [read post]
31 Jul 2018, 12:37 pm by Silver Law Group
Anteneh Roberts (CRD #6414549) is a former registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ann Arbor, MI, from 05/15/2015 through 08/10/2017. [read post]