Search for: "Merrill Lynch & Co."
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9 Feb 2009, 3:09 pm
., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
30 Dec 2009, 11:37 am
Perhaps after getting its proposed $33 million settlement with Bank of America rejected by the Southern District of New York, in part, for not naming one single employee for allegedly making misstatements concerning the bank’s merger with Merrill Lynch, the Securities and Exchange Commission is taking notice and might begin to target individuals behind a company’s violations “with renewed vigor,” according to a new report from NERA Economic Consulting. [read post]
17 Aug 2008, 7:58 pm
Merrill Lynch & Theresa Wonder, Docket No. [read post]
28 Dec 2020, 1:55 pm
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Frisco, TX, Morgan Stanley Smith Barney (CRD#:149777) and Morgan Stanley & Co. [read post]
9 Jan 2020, 6:56 am
Incorporated (CRD#:8209) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of McLean, VA. [read post]
11 Jul 2008, 2:14 am
The recently released 12th annual World Wealth Report co-authored by Capgemini and Merrill Lynch has some amazing findings:The number of global high net worth individuals (HNWIs, with wealth greater than $1 million) rose 6% in 2007 to 10.1 million, and the number of ultra high net worth individuals (Ultra-HNWIs, with wealth greater than $30 million) increased by 8.8%. [read post]
16 Sep 2010, 5:44 am
Merrill Lynch, Inc., 09-3919-Cv NEW YORK COUNTYContracts Option Pact Did Not Violate Rule Against Perpetuities; Buyer Loses Down Payment Rozina v. [read post]
22 Oct 2013, 5:00 am
U.S. attorneys in New Jersey are looking into deals involving Merrill Lynch & Co., purchased by the firm in 2009, the people said.If claims are brought, Bank of America would join JPMorgan Chase & Co. [read post]
3 Jul 2009, 5:12 am
Investors accuse Bank of America of misleading them regarding Merrill Lynch’s financial health prior to the deal even though it was clear that Merrill Lynch would suffer a $15.84 billion loss. [read post]
3 Jul 2009, 5:12 am
Investors accuse Bank of America of misleading them regarding Merrill Lynch’s financial health prior to the deal even though it was clear that Merrill Lynch would suffer a $15.84 billion loss. [read post]
28 Sep 2008, 3:10 pm
These accounts allow investment brokers, such as the financially unstable Merrill Lynch (acquired by Bank of America) and investment bank Lehman Brothers (which filed for bankruptcy), to manage the association’s funds for a fee. [read post]
4 Feb 2010, 10:05 am
For starters: New York Attorney General Andrew Cuomo filed civil securities fraud charges against former BofA CEO Kenneth Lewis and former Chief Financial Officer Joseph Price, alleging they decided not to disclose mounting losses at Merrill Lynch & Co. before getting shareholder approval to acquire the Wall Street firm. [read post]
1 Aug 2008, 9:15 am
Massachusetts regulators, the WSJs John Hechinger reports, have sued Merrill Lynch for allegedly co-opting “supposedly independent” research analysts to help them dump collapsing auction-rate securities on unsuspecting customers. [read post]
7 Nov 2008, 6:45 am
Brennan(Ohio Feb. 23, 2007) , three former employees of Merrill Lynch resigned from that firm to join Bear Stearns & Co. [read post]
9 Nov 2010, 8:47 pm
Hanover Trust Co., 166 N.J. 49, 60 (2001). [read post]
24 Oct 2018, 6:19 pm
Former Wells Fargo Broker Barred for Unauthorized Trading In August, FINRA barred a former Wells Fargo broker who had also previously worked at Merrill Lynch. [read post]
14 Jan 2008, 6:18 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
3 Jan 2008, 3:59 am
Merrill Lynch is sued amid allegations it hid billions of dollars in losses during combination with First Republic Bank. [read post]
11 Sep 2012, 10:50 am
Merrill Lynch & Co., Inc. [read post]
