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13 Dec 2023, 1:49 pm
William King (William Worthen King CRD# 1432593, aka “Bill King”) is a previously registered broker and investment advisor who spent his entire 37-year career at Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Vero Beach, FL beginning in 1985. [read post]
5 Jun 2019, 6:33 am
According to BrokerCheck records financial advisor Jeffrey Smith (Smith), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Smith) has been subject to at least eight customer complaints during the course of his career. [read post]
22 Dec 2009, 1:52 pm
Merrill Lynch Pierce, Fenner & Smith Inc. was acquired by the Bank of America last year and is now a wholly owned subsidiary of that Bank. [read post]
29 Feb 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., ___ F.3d ___ (7th Cir. [read post]
10 Mar 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
9 Sep 2014, 6:55 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker George Zaki (Zaki) concerning allegations that between June 2010, and August 2012, Zaki implemented and/or executed approximately 3,600 discretionary trades in the accounts of approximately 80 Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
1 Dec 2015, 11:10 am
The transcript in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
18 Sep 2016, 6:19 am
The investment attorneys of Gana LLP have brought a claim on behalf of an investor who suffered substantial losses due to investment recommendations made by his Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) advisor, Craig Kinard (Kinard) a proprietary Merrill Lynch fund called the MLCXX6LSER Index (MLC Index). [read post]
22 Sep 2009, 2:26 pm
Following a Texas securities fraud claim that Bank of America's Merrill Lynch, Pierce, Fenner & Smith Inc. allowed unregistered sales persons to sell securities, the Bank of America unit has agreed to pay $26.5 million as part of a national settlement over the allegations. [read post]
21 Sep 2009, 7:20 am
Texas will receive $1.6 million in the settlement with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
Merrill Lynch v. Manning: SCOTUS to Decide Scope of Federal Jurisdiction in Certain Securities Cases
15 Dec 2015, 6:00 am
On December 1, 2015, the Supreme Court heard argument in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [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]
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]
2 Apr 2012, 10:00 pm
Rasnick FINRA recently announced that it fined Merrill Lynch, Pierce, Fenner & Smith (“Merrill”) one million dollars for failing to arbitrate claims with employees. [read post]
7 Jul 2009, 10:31 am
The New York Attorney General announced Assurances of Discontinuance with Credit Suisse Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated relating to the auction rate securities settlements reached last summer. [read post]
1 Dec 2015, 6:34 pm
Supreme Court oral argument in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
19 Feb 2015, 12:14 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [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 July… [read post]
22 Mar 2019, 6:09 am
Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs (SEC Release)https://www.sec.gov/news/press-release/2019-40Without admitting or denying the findings in an SEC Order Instituting Proceedings https://www.sec.gov/litigation/admin/2019/34-85395.pdf, Merrill Lynch, Pierce, Fenner & Smith Incorporated will agreed to pay more than $4.4 million in disgorgement of ill-gotten gains, over $724,000 in prejudgment… [read post]
