logo_web_wht
(888) 637-5510

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...

Read More

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...

Read More

Current Investigations, Securities Fraud Articles

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...

Read More

Current Investigations, Securities Fraud Articles

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...

Read More

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...

Read More

Blog, Current Investigations, Securities Fraud Articles

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...

Read More