Search for: "Merrill Lynch Financial Markets Inc. "
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26 Jan 2024, 8:27 am
(CRD#:7059), EL PASO, TXB, 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Failure to Supervise FINRA Rule 3110 specifically outlines the supervisory obligations of broker-dealers. [read post]
27 Dec 2023, 8:45 am
Arive Capital Markets Dan Droeg United Planners’ Financial Services of America Sagepoint Financial, Inc. [read post]
15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
14 Nov 2023, 9:01 pm
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies, the second highest amount in SEC history, after the record-setting financial remedies ordered in fiscal year 2022. [read post]
10 Nov 2023, 7:01 am
(CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. [read post]
25 Oct 2023, 12:49 pm
Ramon Perez Morgan Stanley UBS Financial Services Inc. [read post]
20 Aug 2023, 9:01 pm
Levinson, 485 U.S. 224 (1988)—which can allow securities-fraud plaintiffs to invoke a fraud-on-the-market presumption of class-wide reliance for purposes of class certification. [read post]
4 Aug 2023, 7:34 am
Christopher Polinaire Network 1 Financial Securities Inc. [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]
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… [read post]
27 Mar 2023, 9:01 pm
Although the market for SPAC IPOs has cooled relative to 2021, litigation arising out of SPAC transactions remains active, and courts have started to rule on motions to dismiss in SPAC-related shareholder lawsuits, with several recent decisions finding plaintiffs’ allegations to be sufficient to move forward. [read post]
28 Feb 2023, 7:41 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Carl Birkelbach Birkelbach Investment Securities, Inc. [read post]
27 Feb 2023, 9:01 pm
Expectation of Profits The court next held that plaintiffs adequately alleged that defendants’ public statements and marketing materials led purchasers to expect profits, pointing to, among other statements, tweets recounting statistics of market performance of Moments with rocket ship, money bag and stock chart emojis, which, as the court put it, “objectively mean one thing: a financial return on investment. [read post]
28 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
21 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
7 Oct 2022, 12:37 pm
CYES is an investment strategy marketed and sold by several brokerage firms including Merrill Lynch, Morgan Stanley and JP Morgan that targeted high income investors and was touted as a market-neutral strategy and a “safe” investment. [read post]
28 Sep 2022, 12:37 pm
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
28 Sep 2022, 8:06 am
;BofA Securities Inc. together with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
26 Sep 2022, 1:56 pm
His former employers are Citigroup Global Markets Inc. [read post]
8 Sep 2022, 9:01 pm
That includes securities and intermediaries in the crypto market. [read post]
