Search for: "Pierce, Fenner "
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31 Jul 2018, 12:37 pm
Anteneh Roberts (CRD #6414549) is a former registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ann Arbor, MI, from 05/15/2015 through 08/10/2017. [read post]
19 Nov 2020, 5:10 am
Douglas Stopkey was registered with Merrill Lynch, Pierce, Fenner & Smith in Richmond, VA, from March 1992 until September 2018, when he was terminated. [read post]
26 Jan 2021, 8:49 am
Tyler Delahunt was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) in Atlanta, Georgia, from October 2016 until August 2020. [read post]
28 Jun 2021, 11:52 am
Iorio Altamirano LLP is investigating claims on behalf of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) customers who invested in Unit Investment Trusts (UITs). [read post]
14 Jan 2021, 7:15 am
Ryan Raskin was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) in Beverly Hills, California, from May 2016 until May 2020. [read post]
23 Jul 2021, 12:55 pm
From 2014 to May 2019, Singh was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as a Research Associate, and from May 2019 to October 2019, as a Research Analyst with BOFA Securities, Inc. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms… [read post]
18 Jun 2013, 8:30 am
In the Matter of the FINRA Arbitration Between Gregory Kiernan, Claimant, vs Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent (FINRA Arbitration 12-02362, June 14, 2013 )Respondent Merrill Lynch generally denied the allegations and asserted various affirmative defenses.The FINRA Arbitration Panel found Respondent Me... [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 interest, and a $2.89 million penalty… [read post]
9 May 2016, 6:06 am
Bank Of America Corporation, Bank Of America Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Defendants (Complaint, SDNY, 16-CV-03653, May 16, 2016).BackgroundThe Complaint c... [read post]
25 Apr 2015, 4:21 am
., Civil Action No. 1:10-CV-01277 Notice of Covered Action 2011-33In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File No. 3-14204 Notice of Covered Action 2011-101In the Matter of Navistar International Corporation, Daniel C. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor… [read post]
22 Dec 2015, 8:38 am
A recent FINRA regulatory settlement results in the fining and suspending of a dubiously incentivized former Merrill Lynch, Pierce, Fenner & Smith registered representative, who, it seems, was also dually employed at the member firm's affiliated bank. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert… [read post]
29 Apr 2013, 6:33 am
In the Matter of Akber Syed, Respondent (AWC 2012033122901, April 24, 2013).Non-Registered, Associated PersonSyed entered the securities industry in 2010 as an associated, non-registered person, and on November 1, 2010, he was employed by Merrill, Lynch, Pierce, Fenner & Smith, Inc. until his June 13, 2012, termination. [read post]
16 Jan 2019, 12:48 pm
Shakela Yashika Carter (CRD #4321231) is a former registered broker and investment advisor who was last employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Fort Lauderdale, FL. [read post]
22 Jun 2012, 7:48 am
The Financial Industry Regulatory Authority ("FINRA") announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
5 Apr 2012, 6:53 am
A Boca Raton, Florida Financial Industry Regulatory Authority ("FINRA") Arbitration Panel has rendered a large award in favor of two former Merrill Lynch, Pierce, Fenner & Smith ("Merrill") brokers. [read post]
26 Jan 2012, 6:54 am
The Financial Industry Regulatory Authority ("FINRA") has fined Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
5 Feb 2019, 2:26 pm
Merrill Lynch Pierce Fenner & Smith Inc., FINRA Office of Dispute Resolution Case No.: 18-00845. [read post]
