Search for: "Merrill Lynch, Pierce, Fenner & Smith, Incorporated"
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3 Dec 2014, 3:33 pm
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) (successor by merger to Banc of America Securities LLC (BAS)) (collectively, the respondents) are wholly-owned subsidiaries of Bank of America Corporation (BAC) that entered into a settlement with the SEC in connection with the with allegations made in a complaint that the SEC filed on August 6, 2013, in federal district court. [read post]
13 Nov 2018, 5:57 am
Hibbard’s most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated of Louisville, KY, from July 16, 2010 through January 26, 2018, and his previous employers include Morgan Keegan & Company, Inc., also of Louisville, and A. [read post]
1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
28 Jun 2015, 8:37 am
From October 2009, through April 2015, Yzaguirre has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) out of their Ontario, California branch. [read post]
22 Jul 2010, 1:52 pm
Whitehill In In re Merrill Lynch & Co., Inc. and Merrill, Lynch, Pierce, Fenner; Smith Incorporated, __ S.W.3d __ (June 25, 2010 slip op.), the Texas Supreme Court conditionally granted mandamus relief in favor of Merrill Lynch, staying litigation against it by a non-signatory company when that company’s sister company that was a signatory to an arbitration agreement was also asserting identical… [read post]
1 Jun 2022, 9:16 am
According to FINRA Disciplinary actions for May 2022, the following individuals were barred 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 Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
2 Sep 2015, 7:38 am
Cheng first entered the securities industry in 2005 as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) with the title of “First Vice President” and worked there until he was discharged in 2015. [read post]
18 May 2016, 5:45 am
*************************************************** In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
5 May 2023, 7:48 am
According to FINRA Disciplinary actions for April 2023, 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 Christine Bourdelais NYLife Securities LLC Thomas Buck RBC Capital Markets, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Narongdej Jaroensabphayanont Voya… [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]
31 Jan 2017, 12:06 pm
.; RBC Capital Markets Corporation; Salomon Smith Barney Inc.; Lehman Brothers Corp.; Merrill Lynch, Pierce, Fenner & Smith Inc., Sussex Securities Incorporated; Lehman Brothers Incorporated. [read post]
28 Sep 2015, 8:59 am
FINRA’s investigation appears to stem from Highfill’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in May 2015. [read post]
19 Sep 2013, 12:04 pm
The underwriters for the PABs are JP Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Estrada Hinojosa & Company, Inc. [read post]
28 Apr 2016, 5:52 am
Since March 2006, Weber has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated out of the firm’s Tampa, Florida office location. [read post]
22 Jan 2016, 6:55 am
Since 2008 Boukamp has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated out of the firm’s Bloomfield Hills, Mississippi office location. [read post]
23 Apr 2016, 10:51 am
In February 2015 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) discharged Reed for cause stating that the reason related to the broker’s handling of a customer complaint. [read post]
26 Sep 2017, 7:06 am
Kai entered the industry in 1991 and worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated until 1995. [read post]
22 Jun 2016, 2:17 pm
See Merrill Lynch Pierce Fenner & Smith Incorporated v. [read post]
4 Jun 2013, 7:48 am
FINRA also ordered Merrill Lynch, Pierce, Fenner & Smith Incorporated, as successor for Banc of America Investment Services, Inc., to pay a fine of $900,000 and to reimburse approximately $1.1 million in losses to 214 customers. [read post]
