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Tag: Pierce
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...
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...
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...
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...
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...
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...
