Search for: "Pierce, Fenner "
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13 Sep 2018, 9:16 am
(CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, LLC (CRD #19616), both of Austin, TX. [read post]
22 Dec 2020, 10:02 am
Rawad Alame was a stockbroker at Merrill Lynch, Pierce, Fenner & Smith Incorporated, working out of branch offices in Raleigh, North Carolina, and Provo, Utah, from January 2016 until June 2019. [read post]
2 Nov 2018, 10:41 am
Morgan Securities LLC (CRD #79), also of New York, NY, Santander Securities (CRD #41791) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) both of Miami, FL. [read post]
30 Mar 2015, 6:51 am
Secretary of the Commonwealth William Galvin accused Merrill, Lynch, Pierce, Fenner & Smith of failing to supervise employees properly when the company made two presentations in January 2013 to financial advisers and others in Boston before properly vetting the material with its compliance department. [read post]
3 Aug 2016, 2:30 pm
Margiotta has been employed and registered since June 2015 with Merrill Lynch, Pierce, Fenner & Smith, Inc., a broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Aug 2018, 10:36 am
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Fort Worth. [read post]
29 Feb 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., ___ F.3d ___ (7th Cir. [read post]
31 May 2016, 7:03 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
28 Jun 2016, 1:37 pm
Daley was employed and registered from October 2007 to June 2016 with Merrill Lynch, Pierce, Fenner & Smith, Inc., a Garden City, New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
7 May 2018, 1:16 pm
Craig Joseph Mardany (CRD#4356113), a currently registered FINRA broker and employed with Merrill, Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) of Newport Beach, CA. [read post]
27 Aug 2018, 7:55 am
He was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Fort Worth, and AXA Advisors, LLC (CRD #6627) of New York, NY. [read post]
27 Aug 2018, 10:22 am
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
25 Aug 2011, 9:10 am
Respondent Merrill Lynch Pierce Fenner andamp; Smith, Inc., was represented by William E. [read post]
19 Dec 2017, 10:43 am
If you have questions about investments you made with Merrill Lynch, Pierce, Fenner & Smith Incorporated the securities attorneys of The White Law Group may be able to help you. [read post]
6 Feb 2018, 7:36 am
Barry Jones Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
30 Mar 2012, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 10-1000-GPM, 2010 WL 5463243 (S.D. [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]
26 Jan 2012, 8:40 am
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch’s branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme. [read post]
8 Mar 2011, 3:56 pm
District Court for the Western District of Washington says that King County, Washington has pleaded sufficient facts to continue with its securities fraud lawsuit accusing Merrill Lynch, Merrill Lynch, Pierce, Fenner and Smith Inc. and Merrill Lynch Money Markets Inc. of facilitating its purchase of allegedly toxic mortgage-backed securities and violating the Washington State Securities Act. [read post]
12 Nov 2008, 5:29 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. and a number of its workers have won an arbitration dispute filed by a couple that invested in a money market mutual fund. [read post]
