Search for: "Merrill Lynch"
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25 Jul 2023, 10:40 am
FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined and suspended former Merrill Lynch advisor Robert Gerstein over allegations of unsuitable short-term trading of mutual funds and other complex investment products. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
11 Jul 2023, 11:12 am
“Merrill Lynch and BACNAH did not file hundreds of Merrill Lynch SARs because they failed to comply with one of the most basic requirements for a SAR program. [read post]
11 Jul 2023, 9:11 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]
20 Jun 2023, 7:26 am
Morgan Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Kenneth Wade Cetera Advisors Networks LLC PFS Investments Inc. [read post]
11 Jun 2023, 1:38 pm
Iannazzo was fired by Merrill Lynch a year [...] [read post]
5 Jun 2023, 8:14 pm
Longtime Merrill Lynch Financial Advisor William King Resigns Following Allegations of Broker Misconduct Vero Beach, Florida broker William Worthen King has reportedly voluntarily resigned after 37 years as a Merrill Lynch registered representative. [read post]
18 May 2023, 9:38 am
According to William King’s FINRA broker report, he has been associated with Merrill Lynch since 1985. [read post]
9 May 2023, 11:55 am
Investment Fraud Lawyer Jake Zamansky Breakdown Common Investment Scams 00:10 Hello everyone. [read post]
8 May 2023, 6:57 am
Two Securities Regulators Fine Merrill Lynch $1.4 Million for Cold Calling Violations According to Investment News on May 4, 2023, Merrill Lynch has agreed to pay $1.4 million for inappropriate cold calling by its trainees between 2018 and 2020. [read post]
5 May 2023, 7:48 am
According to FINRA Disciplinary actions for April 2023, 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 Christine Bourdelais NYLife Securities LLC Thomas Buck RBC Capital Markets, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Narongdej Jaroensabphayanont Voya Financial Advisors, Inc. [read post]
27 Apr 2023, 12:35 pm
When the advisor and his team resigned from Merrill Lynch, they retained the nonpublic personal information of customers. [read post]
22 Apr 2023, 6:18 am
(“Merrill Lynch”) at the time of the activity. [read post]
14 Apr 2023, 11:30 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Kenneth Wade Cetera Advisor Networks LLC PFS Investments Inc. [read post]
14 Apr 2023, 9:24 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ikenna Ubaka FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
3 Apr 2023, 1:10 pm
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
29 Mar 2023, 12:33 pm
Merrill Lynch was never notified of these OBAs. [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
23 Mar 2023, 8:53 am
The broker who was in the securities industry for 26 years, allegedly operated three undisclosed outside businesses (OBAs) without seeking approvals from Merrill Lynch. [read post]
22 Mar 2023, 12:52 pm
In 2008, you had a bunch of the largest banks, Merrill Lynch, Morgan Stanley, Citigroup having bad assets on their books, mortgage backed securities. [read post]
