Search for: "Merrill Lynch Corporation"
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27 Sep 2022, 11:48 am
She was previously employed as a broker with Invest Financial Corporation (CRD#:12984) of Palm Beach Gardens and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Lake Worth, FL. [read post]
19 Jun 2008, 3:55 pm
And well into March, Merrill Lynch customers who checked their accounts online found their auction-rate securities investments listed under "Other Cash. [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]
30 Jan 2009, 1:21 am
" This lynch mob mentality is familiar to those who recall the public outcry that accompanied the last era of corporate scandals. [read post]
4 Aug 2009, 9:35 am
Citigroup and Merrill Lynch paid out $9 billion in bonuses in 2008 despite combined losses of $54 billion and TARP bailouts totaling $55 billion, according to the report. [read post]
21 Sep 2009, 2:00 pm
The SEC alleged earlier this year that BofA had "materially lied" in shareholder communications prior to its takeover of Merrill Lynch, by failing to disclose bonuses owed to Merrill employees. [read post]
25 Nov 2013, 9:00 am
In those cases – what we here at Suits by Suits consider our bread-and-butter cases – the employer may want to think twice about binding arbitration due principally to the risks of being stuck with an almost entirely unappealable adverse ruling; we’ve previously discussed how this has turned out poorly for employers such as Merrill Lynch and BDO. [read post]
28 Dec 2015, 5:49 am
The no-action relief granted by the Board is similar to the practice in the brokerage industry that has been codified in FINRA Rule 2040 (b) in which, prior to that date, was sanctioned by a FINRA no-action letter issued to Merrill Lynch in March 2012. [read post]
29 May 2009, 8:02 am
Merrill Lynch, Pierce, Fenner, Smith, Inc., 395 F.3d 25; 2005 U.S. [read post]
3 Aug 2009, 9:38 am
Citigroup did it, followed by Morgan Stanley, UBS, Merrill Lynch, Wachovia, Bank of America (BofA) and, most recently, Morgan Keegan and Ameritrade. [read post]
24 Dec 2019, 7:19 am
According to FINRA Disciplinary actions for December 2019, the following individuals were barred 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 Bartley, Jevon Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Cross, Anita Gasser, Robert Barclays Capital Inc … [read post]
28 Aug 2013, 6:13 am
” Merrill Lynch is making a huge $160 million payout in a racial bias case that’s been stuck in the courts for nearly a decade. [read post]
17 Nov 2009, 2:21 am
This article first appeared in Corporate Counsel, a US sister title of Legal Week. [read post]
7 Apr 2008, 12:39 pm
., Goldman Sachs, Lehman Brothers, Merrill Lynch, Citigroup and UBS - now won't let investors withdraw their investment money. [read post]
28 Oct 2010, 7:15 am
(“Merrill Lynch”). [read post]
23 May 2019, 1:39 pm
(CRD#:8174) of Palm Beach, FL, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of West Palm Beach, FL, and Morgan Stanley DW Inc. [read post]
9 Oct 2008, 2:01 pm
This is not new news as being in New York we started to feel the real economic impact in mid-September as Lehman melted down and as Merrill Lynch was bailed out by Bank of America. [read post]
28 Feb 2012, 2:24 am
Merrill Lynch, Pierce Fenner & Smith (7th Cir. 2012), where the Seventh Circuit just reversed denial of a class seeking injunctive relief and certification of a class for the purpose of determining whether disparate-impact discrimination had occurred against African-American brokers. [read post]
31 Aug 2009, 3:23 am
Barclay Surrick, Jr. granted the motion to dismiss the securities fraud lawsuit that Luminent Mortgage Corporate had filed against Merrill Lynch and related entities. [read post]
30 Oct 2009, 6:00 am
John Thain presumably left the commode on legs behind when he left Merrill Lynch. [read post]
