Search for: "Merrill Lynch, Pierce, Fenner & Smith"
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2 Mar 2021, 1:59 pm
Ryan Raskin (Ryan Ashley Raskin CRD# 5539610) is a former registered broker and investment advisor was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#7691) in Beverly Hills, California from 2016-2020. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS… [read post]
28 Jun 2018, 2:11 pm
His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. [read post]
6 Jun 2012, 5:00 am
In re Merrill Lynch Auction Rate Securities Litigation arose out of an action by an investor, Louisiana Pacific Corporation (“plaintiff”) filed suit against underwriters Merrill Lynch & Co. and Merrill Lynch, Pierce, Fenner and Smith Inc. [read post]
1 Sep 2008, 3:52 pm
The Securities and Exchange Commission says it has reached a preliminary settlement agreement with Merrill Lynch, Pierce, Fenner & Smith to liquidate about $8.5 billion in auction-rate securities that are still held by the firm's institutional and retail investors. [read post]
26 Jan 2012, 8:40 am
The Financial Industry Regulatory Authority (FINRA) announced that it 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]
24 Sep 2017, 7:34 am
According to BrokerCheck records Robert Yahney (Yahney), associated with Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch), has been subject to five customer complaints. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
18 Jun 2018, 2:02 pm
On June 12, 2018, the United States Securities and Exchange Commission (“SEC“) issued an Order instituting administrative proceedings, making findings, and imposing remedial sanctions against Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch“), a subsidiary of Bank of America Corporation, pursuant to Section 15(b) of the Securities Exchange Act of 1934. [read post]
29 May 2019, 8:37 am
Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. [read post]
7 Oct 2011, 9:01 am
Bank of America subsidiary Merrill Lynch, Pierce, Fenner andamp; Smith Inc. has been fined $1 million by the Financial Industry Regulatory Authority, or FINRA, for failure to supervise one of its stockbrokers at its branch office in San Antonio, Texas. [read post]
23 Nov 2020, 2:14 pm
Omar Hammad-Randolph (Omar Waleed Hammad-Randolph CRD# 6087721) is a previously registered broker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) in their Boca Raton, Florida office. [read post]
24 Feb 2012, 8:03 am
Merrill Lynch, Pierce Fenner & Smith, Inc. [read post]
16 Apr 2013, 1:28 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain customer transactions involving non-convertible preferred securities executed on one of its proprietary order management systems (ML BondMarket), and for failing to... [read post]
19 Dec 2017, 10:43 am
FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million. [read post]
11 Jul 2023, 11:12 am
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. [read post]
22 Dec 2020, 6:11 am
He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since 2010. [read post]
11 May 2020, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Juan Barreras (Barreras), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least five customer complaints during the course of his career. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
