Search for: "Merrill Lynch, Pierce, Fenner & Smith"
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1 Nov 2019, 4:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Re... [read post]
25 Sep 2012, 9:06 am
Yesterday, FINRA announced today that it andquot;censuredandquot; and fined Merrill Lynch, Pierce, Fenner andamp; Smith Inc. $500,000 for supervisory failures that allowed widespread deficiencies in filing hundreds of required reports, including customer complaints, arbitration claims, and related U4 and U5 filings, and for its failure to file the required reports. [read post]
15 Jan 2014, 6:21 am
The Securities and Exchange Commission (SEC) instituted administrative proceedings against broker Ronald Gene Anglin (Anglin), formerly of Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
20 Apr 2009, 7:07 pm
A motion by Merrill Lynch, Pierce, Fenner & Smith Inc. to stop two former financial advisers from using customer information they received while working at the investment firm has been denied. [read post]
26 Jan 2012, 7:25 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded former Boston Red Sox catcher and two-time World Series winner, Doug Mirabelli and his wife, $1.2 million in their claims against Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
22 Mar 2019, 8:55 am
The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).ADRs – U.S. securities that represent foreign shares of a foreign company – require a corresponding number of foreign shares to be held in custody at a depositary bank. [read post]
23 Jul 2021, 12:55 pm
From 2014 to May 2019, Singh was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as a Research Associate, and from May 2019 to October 2019, as a Research Analyst with BOFA Securities, Inc. [read post]
18 Jun 2013, 8:30 am
In the Matter of the FINRA Arbitration Between Gregory Kiernan, Claimant, vs Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent (FINRA Arbitration 12-02362, June 14, 2013 )Respondent Merrill Lynch generally denied the allegations and asserted various affirmative defenses.The FINRA Arbitration Panel found Respondent Me... [read post]
24 Jul 2015, 6:01 am
As we previously reported, (See Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstances) news sources have been investigating the termination of financial advisor Thomas Buck (Buck) and his daughter Ann Buck by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under circumstances that some would consider unusual. [read post]
28 Jun 2012, 3:38 pm
The Financial Industry Regulatory Authority says that it is fining Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8M in the wake of certain alleged supervisory failures that the SRO says led to the financial firm billing clients unwarranted fees. [read post]
1 Dec 2015, 2:01 pm
In Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
4 Dec 2015, 2:19 pm
Brennan Merrill Lynch, Pierce, Fenner & Smith v. [read post]
10 Aug 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012) (discussed in this blog post). [read post]
19 Nov 2006, 1:11 pm
In a complex action involving the estates of Ferdinand and Imelda Marcos as plunderers of Philippine assets, Merrill Lynch, Pierce, Fenner and Smith, Inc. v. [read post]
16 May 2016, 1:53 pm
The US Supreme Court [official website] ruled [opinion, PDF] unanimously Monday in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith… [read post]
3 Aug 2022, 10:56 am
According to his FINRA Broker report, Frerking was reportedly registered with the following FINRA registered firms, during his career in the securities industry: 10/14/1999 – 04/27/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) AUSTIN, TX Frerking reportedly has one customer complaint filed against him in 2020 for allegations of “misappropriation of funds from July 1999 until… [read post]
1 Nov 2019, 4:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Release)CFTC Charges Companies and Associates with Failing to Register with the CFTC (CFTC Release)Baton Rouge Man Pleads Guilty in Federal Court to Multi-Million Dollar B... [read post]
