Search for: "Merrill Lynch, Pierce, Fenner "
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15 Oct 2012, 1:53 pm
On August 24, 1998, Enrique Vila entered the securities industry as a General Securities Representative of Merrill Lynch, Pierce, Fenner & Smith. [read post]
17 Aug 2012, 1:47 pm
During the applicable period, from March 31, 2009 to August 13, 2009, he was registered with Merrill Lynch, Pierce, Fenner, & Smith, Inc. [read post]
29 Feb 2016, 6:40 am
In November 2015, Sands’ then brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) terminated Sands for cause alleging that the broker engaged in conduct inconsistent with the firm’s selling away policies. [read post]
22 Mar 2009, 10:16 am
Related Web Resources: SEC Charges Merrill Lynch For Failure to Protect Customer Order Information on "Squawk Boxes", SEC, March 11, 2009 SEC Administrative Proceedings Against Merrill Lynch, Pierce, Fenner, & Smith Inc., (PDF) [read post]
29 Feb 2012, 12:10 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 11-3639 (7th Cir., Feb. 24, 2012). [read post]
22 Jan 2021, 12:05 pm
He was previously employed with Myclearing.Com (CRD#:104161) and Interfirst Capital Corporation (CRD#:7659), both of Los Angeles, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
19 Feb 2021, 11:25 am
Tyler Delahunt (Tyler Dean Delahunt CRD#: 4419594) is a formerly registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Atlanta, Georgia. [read post]
29 May 2009, 8:02 am
Merrill Lynch, Pierce, Fenner, Smith, Inc., 395 F.3d 25; 2005 U.S. [read post]
20 May 2019, 9:11 am
Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Chicago, IL, from 2/7/2006 through 12/18/2018. [read post]
24 Dec 2019, 7:19 am
According to FINRA Disciplinary actions for December 2019, 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 Bartley, Jevon Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Cross, Anita Gasser, Robert Barclays… [read post]
4 Apr 2012, 2:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. in which George McReynolds is suing the defendants on behalf of himself and approximately 700 current and former employees of Merrill Lynch (a branch of Bank of America) for discrimination which led to them getting paid less and having fewer opportunities for advancement than their white co-workers. [read post]
4 Apr 2018, 7:41 am
According to FINRA Disciplinary actions for March 2018, 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 Kean Lynn Bouplon Morgan Stanley Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
19 Feb 2019, 2:04 pm
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Indianapolis, and UBS Painewebber Inc. [read post]
27 Apr 2022, 8:37 am
Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Stuart, FL. [read post]
3 Jan 2020, 1:37 pm
Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691). [read post]
28 Feb 2012, 5:25 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 2012 WL 592745 (7th Cir. 2012). [read post]
18 May 2022, 6:39 am
His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Westlake Village, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
25 Jun 2018, 5:21 am
SEC Charges Merrill Lynch for Failure to Supervise RMBS TradersMerrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges that its employees misled customers into overpaying for Residential Mortgage Backed Securities (RMBS). [read post]
24 Dec 2019, 11:00 am
Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC (CRD#:19616) of Red Bank, NJ and Citigroup Global Markets Inc. [read post]
27 May 2014, 5:34 am
From November 2005, until March 2009, Schrader was associated with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
