Search for: "Thomas Merrill" Results 1 - 20 of 264
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
16 Jun 2020, 7:14 am by Silver Law Group
According to FINRA Disciplinary actions for May 2020, 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   Thomas Bock   Mutual Securities, Inc. [read post]
16 Jun 2020, 6:40 am by Silver Law Group
According to FINRA Disciplinary actions for May 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   George Belesis   Portfolio Advisors Alliance, LLC   John Thomas Financial   Dustin Blount   MML Investors Services, LLC   Northwestern Mutual Investment… [read post]
21 May 2020, 6:40 am by Silver Law Group
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Belesis, George   Portfolio Advisors Alliance, LLC   John Thomas Financial   Berghausen, Joseph   ADP Broker-Dealer, Inc   Cetera Advisor Networks LLC… [read post]
21 Feb 2020, 1:29 am
In today's featured FINRA regulatory settlement, we come across the case of a Merrill Lynch employee who signed off on agreements without apparent authorization. [read post]
16 Dec 2019, 9:05 pm by Jon D. Michaels
The first flank, which I will call the constitutional conservatives, is reshaping not only academic debates but also American jurisprudence, as evidenced by recent murmurings by Chief Justice John Roberts, Justice Clarence Thomas, and then-Judge Neil Gorsuch. [read post]
6 Aug 2019, 8:52 am by Silver Law Group
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Bender, Charles III   Suntrust Investment Services, Inc   JP Morgan Securities LLC   Bingham, Daniel   Essex Securities LLC   Investors Capital   Diehlman,… [read post]
19 May 2019, 1:05 pm
Cir. 2016); see In re Merrill Lynch, Pierce, Fenner, and Smith, Inc., 828 F.2d 1567, 1571 (Fed. [read post]
17 May 2019, 7:17 am by Fitapelli Kurta
White & Company in San Francisco, California (1991); Kidder Peabody & Company (1986-1988); and Merrill Lynch (1984-1986). [read post]
12 Apr 2019, 8:22 am by Silver Law Group
According to FINRA Disciplinary actions for February 2019, 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   Grossman, Robert   David Lerner Associates, Inc   National Planning Corporation   Jacobowitz, Oded   Securities America, Inc   JP Morgan Securities LLC   James, Garland   Garden State Securities, Inc   Global Arena… [read post]
4 Apr 2019, 3:02 pm by Jeff Sovern
Kaylor; Rory Van Loo Lecturer; Full-time Consumer Debt Practicum Thomas Beauvais Dougan BRIGHAM YOUNG  no       no   BROOKLYN no       New York Civil Court Consumer Law Externship Sidney Cherubin CALIFORNIA - Berkeley  yes Student Loan Law; Consumer Litigation: The Course of a Case; Consumer Protection Law;  Consumer Protection in Insurance; Client Counseling, E-Commerce, and Consumer Protection; Consumer Bankruptcy; Debt, Discrimination,… [read post]
28 Mar 2019, 9:49 am by Jeff Sovern
Kaylor; Rory Van Loo Lecturer; Full-time Consumer Debt Practicum Thomas Beauvais Dougan BRIGHAM YOUNG  no       no   BROOKLYN no       New York Civil Court Consumer Law Externship Sidney Cherubin CALIFORNIA - Berkeley  yes Student Loan Law; Consumer Litigation: The Course of a Case; Consumer Protection Law;  Consumer Protection in Insurance; Client Counseling, E-Commerce, and Consumer Protection; Consumer Bankruptcy; Debt, Discrimination,… [read post]
24 Mar 2019, 6:21 am by Jeff Sovern
Kaylor; Rory Van Loo   Consumer Debt Practicum Thomas Beauvais Dougan BRIGHAM YOUNG  no       no   BROOKLYN no       New York Civil Court Consumer Law Externship Sidney Cherubin CALIFORNIA - Berkeley  yes Student Loan Law; Consumer Litigation: The Course of a Case; Consumer Protection Law;  Consumer Protection in Insurance; Client Counseling, E-Commerce, and Consumer Protection; Consumer Bankruptcy; Debt, Discrimination, &… [read post]
20 Mar 2019, 4:42 pm by Jeff Sovern
Kaylor; Rory Van Loo   Consumer Debt Practicum Thomas Beauvais Dougan BRIGHAM YOUNG  no       no   BROOKLYN no       New York Civil Court Consumer Law Externship Sidney Cherubin CALIFORNIA - Berkeley  no       no   CALIFORNIA - Davis  yes Consumer Protection and Financial Regulation     no   CALIFORNIA - Hastings yes Consumer Finance and Bankruptcy; Consumer Transactions; Consumer Law     no… [read post]
19 Mar 2019, 9:01 pm by Michael C. Dorf
As Professor Thomas Merrill wrote in an insightful 1996 article, true conservatives should favor established precedents—what he calls “the consensus view about the meaning in the legal community of today”—over disruptive changes rooted in ostensible discoveries of original meaning. [read post]
15 Feb 2019, 11:32 am by ccollins
Ex-Merrill Lynch Broker Will Pay $5M Penalty and Serve Time In Prison A federal judge has sentenced Thomas Buck, an ex-Merrill Lynch broker, to 40 months in prison. [read post]
14 Feb 2019, 11:17 am by D. Daxton White
If you have suffered losses investing with former Merrill Lynch financial advisor Thomas Buck, the securities attorneys at The White Law Group may be able to help you. [read post]
13 Feb 2019, 6:30 am by Lev Sugarman
Department of Homeland Security; Thomas Hicks, Commissioner, U.S. [read post]