Search for: "Merrill Lynch, Pierce, Fenner "
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27 Sep 2022, 11:48 am
She was previously employed as a broker with Invest Financial Corporation (CRD#:12984) of Palm Beach Gardens and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Lake Worth, FL. [read post]
20 Apr 2017, 9:03 am
According to his FINRA BrokerCheck report, Kluge was registered with Merrill Lynch, Pierce, Fenner & Smith in St. [read post]
14 Dec 2018, 12:31 pm
According to his FINRA BrokerCheck report, Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith in Boca Raton, FL from September 2016 until he was discharged in September 2018 for reportedly “Conduct including failure to adhere to Firm standards regarding selling away and failure to fully disclose participation in outside business activities. [read post]
7 Apr 2021, 1:43 am
Prior to this, he was in the employment of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a Lake Forest California based firm between June 2007 and February 2018. [read post]
7 Apr 2021, 1:43 am
Prior to this, he was in the employment of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a Lake Forest California based firm between June 2007 and February 2018. [read post]
15 Mar 2018, 5:00 am
Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of SecuritiesThe SEC settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. for its failure to perform required gatekeeping functions in the unregistered sales of securities on behalf of a China-based issuer and its affiliates.NYSE to Pay $14 Million Penalty for Multiple ViolationsThe SEC charged the New York Stock Exchange and two affiliated exchanges with… [read post]
11 Apr 2021, 9:05 am
According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
28 Feb 2012, 2:24 am
Merrill Lynch, Pierce Fenner & Smith (7th Cir. 2012), where the Seventh Circuit just reversed denial of a class seeking injunctive relief and certification of a class for the purpose of determining whether disparate-impact discrimination had occurred against African-American brokers. [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]
5 Jan 2021, 11:32 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) and Wells Fargo Advisors, LLC (CRD#:19616), also of Albuquerque, and Wells Fargo Investments, LLC (CRD#:10582) of Tucson, AZ. [read post]
10 Nov 2023, 7:01 am
(CRD#:7059) of El Segundo, CA, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
15 Oct 2021, 12:33 pm
He was previously employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Duluth, MN, Wells Fargo Investments, LLC (CRD#:10582) of Grand Rapids, MN, and Miller Johnson Steichen Kinnard, Inc. [read post]
23 May 2019, 1:39 pm
(CRD#:8174) of Palm Beach, FL, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of West Palm Beach, FL, and Morgan Stanley DW Inc. [read post]
9 Jan 2020, 6:56 am
Incorporated (CRD#:8209) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of McLean, VA. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
17 Jul 2018, 9:33 am
SEC Shuts Down $102 Million Ponzi SchemeThe SEC filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the U.S.Merrill Lynch Admits to Misleading Customers about Trading VenuesMerrill Lynch, Pierce, Fenner & Smith has been charged with misleading customers about how it handled their orders. [read post]
24 Jun 2014, 3:01 am
Based on this evidence Nordic maintained that, as in In Merrill, Lynch, Pierce, Fenner & Smith, Inc., 828 F.sd 1567 (Fed. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce,… [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]
24 Jan 2022, 2:01 pm
According to FINRA Disciplinary actions for January 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 Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Inc Bradley Holts World Capital Brokerage, Inc. [read post]
