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Tag: Pierce

Blog, Current Investigations

The SEC Censures and Fines Merrill Lynch $42 Million

SEC Alleges Merrill Lynch Misled Customers According to a press announcement, the Securities and Exchange Commission has charged Merrill...

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Blog, Current Investigations

FINRA Fines Merrill Lynch $1.4 Million – Supervisory Issues

FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority...

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Current Investigations, Securities Fraud

Former Advisor Jay Dee Jordan Barred from Securities Industry

FINRA Bars Jay Dee Jordan for Numerous Violations According to the Financial Industry Regulatory Authority, between June 1, 2012 and March...

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Current Investigations, Securities Fraud

Former Advisor Paul V. Blum Barred from Securities Industry

FINRA Bars Paul V. Blum for Failure to Appear for Testimony According to the Financial Industry Regulatory Authority, former financial...

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Current Investigations

Knight Energy Holdings LLC Files Chapter 11 Following Racketeering Scandal

Knight Energy Holdings LLC listed 11 Companies in the Chapter 11 petition Knight Energy Holdings, LLC operates as a holding company. The...

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Blog, Current Investigations, Securities Fraud

Merrill Lynch Pierce Fenner & Smith Incorporated Fined and Censured

FINRA Fines Merrill Lynch Pierce Fenner & Smith Incorporated for Compliance Issues According to FINRA, on May 16, 2017, Merrill Lynch...

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