Search for: "Merril"
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4 Mar 2009, 3:57 pm
Merrill Lynch is suing Deutsche Bank after the big German bank hired its former treasurer, Eric Heaton, last month in what Merrill called a raid of bankers from its financial institutions group. [read post]
3 Apr 2009, 5:15 am
Bank of America has reportedly lost yet another senior Merrill Lynch banker. [read post]
12 May 2009, 7:49 am
Could Merrill Lynch's thundering herd regain their independence one day? [read post]
4 Oct 2011, 12:10 pm
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
1 Apr 2009, 9:17 am
Merrill Lynch has been socked with a $39.8 million arbitration ruling. [read post]
2 Mar 2007, 6:12 am
Source: News Releases - Merrill Corporation [read post]
3 Jan 2021, 12:14 pm
Former Kentucky-Based Merrill Lynch Broker Gets Eight Years in Prison Christopher Lee Hibbard, a former stockbroker for Merrill Lynch and Pierce, Fenner & Smith is sentenced to eight years in prison. [read post]
25 Oct 2011, 4:33 am
Two years ago, former Merrill Lynch employee Bruce Hammonds, was sent to prison for securities fraud; now FINRA is fining Merrill Lynch for not properly supervising Hammonds. [read post]
11 Mar 2009, 1:44 pm
Merrill Lynch agreed to settle the SEC's charges and pay a $7... [read post]
11 Sep 2007, 3:34 am
The case revolves around the sale by Merrill Lynch of its... [read post]
10 Apr 2009, 6:44 am
More importantly, if he does, what impact will this have on Merrill Lynch? [read post]
4 Sep 2021, 7:45 am
FINRA has barred former Merrill Lynch broker Scott Madison from the securities industry, after he failed to provide information and documents requested by FINRA in connection with its investigation into the circumstances of his termination from Merrill Lynch. [read post]
27 Jan 2009, 2:46 am
Some recent Merrill Lynch contracts: the merger agreement with Bank of America, the private placement agreementwith the U.S. [read post]
14 Jan 2021, 7:15 am
Merrill Lynch terminated Mr. [read post]
11 Jun 2012, 4:13 pm
Meanwhile, Merrill says the cases are without merit. [read post]
24 Oct 2007, 7:26 am
Instead, Merrill shares are trading down about 1.8 percent in midmorning trading Wednesday. [read post]
25 Feb 2009, 2:58 pm
Lewis told Bloomberg Television that Merrill would be "a thing of beauty" over the long term. [read post]
17 Jan 2008, 10:22 am
With Merrill Lynch announcing a $9.8 billion quarterly loss and a bigger write-down tied to subprime mortgages and related instruments, John A. [read post]
