Search for: "Thomas Merrill" Results 21 - 40 of 242
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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]
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]
30 Jan 2019, 1:03 pm by Silver Law Group
According to FINRA Disciplinary actions for January 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   Alfaro, Jennifer   JP Morgan Securities LLC   JP Morgan Chase Bank   Austin, Aaron   LPL Financial LLC   M&T Securities, Inc   Austin, Phillip   JP… [read post]
17 Jan 2019, 12:49 pm by Renae Lloyd
Merrill Lynch Advisor Thomas Buck According to reports this week, federal prosecutors are asking a judge to impose a 78-month prison sentence on Thomas Buck, the former Merrill Lynch broker who in 2018 pled guilty to one count of securities fraud and agreed to pay a $5 million penalty. [read post]
18 Dec 2018, 11:12 am by Silver Law Group
  First Southwest   Michael Giokas   Fortune Financial Services, Inc   Comprehensive Asset Management and Servicing   Travis Marks   Wells Fargo Advisors, LLC   JP Morgan Securities LLC   Richard Minichino   Next Financial Group, Inc   Wunderlich Securities, Inc   Thomas Park   Merrill Lynch, Pierce, Fenner & Smith Inc   Wells Fargo Clearing Services, LLC   Brian Roth   The Benchmark Company, LLC… [read post]
10 Oct 2018, 3:30 am by Lee Anne Fennell
” Her primary focus is the influential scholarship of Henry Smith and Thomas Merrill, who are presently working on the American Law Institute’s fourth restatement of property (Smith is the lead reporter; Merrill is an associate reporter). [read post]
21 Aug 2018, 5:17 am by Silver Law Group
  Morgan Securities LLC   Massachusetts Mutual Life Ins Co   Thomas Matthew Dunlap   AXA Advisors LLC   Saima Ashraf Durrani   J.P. [read post]
17 Aug 2018, 6:27 pm by Jonathan H. Adler
Yale University 2160 Constitutional Law, Legislation 67 7 Akhil Amar Yale University 1600 Constitutional Law 60 8 Thomas Merrill Columbia University 1595 Administrative, Constitutional, and Property Law 69 9 Mark Tushnet Harvard University 1590 Constitutional Law, Legal History 72 10 Jack M. [read post]
14 Aug 2018, 1:32 pm by ccollins
If you are an investor whose accounts were overseen by Thomas Buck, you may have grounds for an investment fraud case against Buck and Merrill Lynch. [read post]