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31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
10 Jul 2017, 12:59 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated was formerly known as Merrill Lynch Pierce Fenner & Smith, Inc. [read post]
20 Oct 2021, 7:03 am
Bartman opened in 2016 with Merrill Lynch, Pierce, Fenner & Smith, ... [read post]
7 Aug 2017, 9:16 am
The post Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined and Censured appeared first on White Securities Law. [read post]
15 Jun 2018, 7:23 am
The post Merrill Lynch, Pierce, Fenner & Smith Inc. to pay $15 Million appeared first on White Securities Law. [read post]
11 Feb 2009, 8:15 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., Federal District Court Filings and Dockets, Justia Related Web Resources: TGS-NOPEC Geophysic Merrill Lynch Pierce Fenner & Smith Inc. [read post]
21 Oct 2007, 11:50 am
The firms disciplined include: Merrill Lynch, Pierce, Fenner & Smith: Fined $100,000 for violating rule 123c about 480 times when it cancelled or submitted securities orders after the mandatory cutoff period. [read post]
18 Feb 2009, 3:14 pm
Merrill Lynch, Pierce, Fenner & Smith Inc has reached a $1 million settlement agreement with the Securities and Exchange Commission over charges that the broker-dealer misled its pension consulting clients by neglecting to disclose conflicts of interest. [read post]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
26 Jan 2012, 4:07 am
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (AWC 2009020188101/January 25, 2012).... [read post]
24 Feb 2012, 8:03 am
Merrill Lynch, Pierce Fenner & Smith, Inc. [read post]
2 Oct 2021, 7:52 am
Beverlywood Man Pleads Guilty to Securities Fraud, Admitting Massive Ponzi that Falsely Claimed to License Foreign Film Rights (DOJ Release)Kansas Man Sentenced to Three Years in Prison for Engaging in $900,000 Foreign Currency Ponzi Scheme (DOJ Release)FINRA Sanctions Merrill Lynch, Pierce, Fenner & Smith Incorporated for MSRB ViolationsIn the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (FINRA AWC)FINRA NAC… [read post]
29 May 2019, 8:37 am
Christopher Charles Hellman (CRD#: 6584084) is a formerly registered broker and investment advisor whose last employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Boca Raton, FL. [read post]
1 Dec 2015, 11:10 am
The transcript in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
9 Jun 2014, 9:28 am
The opinion of the Massachusetts Appeals Court begins: The plaintiffs appeal from the denial of their motion for sanctions against Bingham McCutchen LLP (Bingham), intervener, the law firm that defended Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
3 Oct 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS Securities, L.L.C.; E*TRADE Capital Markets, L.L.C.;… [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
25 Jan 2012, 1:47 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
11 Mar 2009, 1:44 pm
The SEC charged Merrill Lynch, Pierce, Fenner & Smith Inc. with securities laws violations for having inadequate policies and procedures for controlling access to institutional customer order flow. [read post]
