Search for: "Merrill Lynch Financial Markets Inc."
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15 Jan 2014, 6:21 am
From 2004 through October 2008, Anglin was a registered representative of Citigroup Global Markets, Inc. [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]
3 Apr 2013, 12:47 pm
When this happens, a FINRA arbitration claim against the financial advisor or the financial advisor’s employer is often the best way to recover the damages incurred as a result of the broker’s excessive trading. [read post]
3 Jan 2013, 12:58 pm
The settlement’s principal beneficiaries will be the pension funds that suffered substantial losses in their Bank of America investments following the ill-fated Merrill Lynch acquisition. [read post]
13 Nov 2012, 11:54 am
Merril Lynch, Pierce Fenner andamp; Smith, Inc., 532 F. [read post]
26 Sep 2012, 7:34 pm
Alleca (PDF) More Blog Posts: Lehman Brothers Australia Found Liable in CDO Losses of 72 Councils, Charities, and Churches, Institutional Investor Securities Blog, September 25, 2012 Merrill Lynch Told to Pay $3.6M to Brazilian Heiress for Brother’s Alleged $389M in Unauthorized Trading, Stockbroker Fraud Blog, September 22, 2012 Municipal Advisor Bill Passes Vote by US House of Representatives, Institutional Investor Securities Blog, September 21, 2012 [read post]
11 Sep 2012, 5:27 pm
(WFC), JPMorgan (JPM), Royal Bank of Canada's (RY) RBC Capital Markets division, Bank of America Corp's (BAC) Merrill Lynch division (MER), Morgan Stanley (MS), and Barclays PLC (BCS). [read post]
29 Aug 2012, 12:10 pm
(MRVL), Polycom Inc., (PLCM), and Google Inc. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
11 Aug 2012, 1:56 pm
Another broker who was recently cleared of wrongdoing is former Citigroup Global Markets Inc. [read post]
6 Aug 2012, 2:41 pm
UBS Financial Services Inc. v. [read post]
1 Aug 2012, 5:51 am
Kent Christian*, President, Financial Network, Wells Fargo Didier Descamps, Co-Head Global Markets Americas, HSBC Securities (USA) Inc. [read post]
26 May 2012, 10:54 pm
Financial Industry Regulatory Authority Inc. arbitrator Alvin Green is ordering David Lerner Associates Inc. to pay claimants Florence Hechtel and Joseph Graziose $24,450 for the Apple REITs that they bought from the firm. [read post]
10 May 2012, 8:15 pm
Our securities fraud lawsuit against Merrill Lynch, Pierce, Fenner, & Smith involve allegations of overconcentration against David Zeng. [read post]
28 Apr 2012, 8:50 pm
Allstate has also filed RMBS lawsuits against other financial firms, including Merrill Lynch (MER) units, Citigroup Inc. [read post]
18 Apr 2012, 9:15 am
For ours is not so much a financial crisis… nor a liquidity crisis… nor a credit crisis… nor a crisis caused by over-leverage and excessive debt. [read post]
7 Apr 2012, 7:30 am
The UK Financial Services Authority ("FSA") imposed fines of £3.651 million ($5.77 million) on Greenlight Capital Inc., a US hedge fund manager ("Greenlight"), £3.638 million ($5.74 million) on David Einhorn, Greenlight's owner, and £350,000 ($553,000) on Andrew Osborne, a former Bank of America Merrill Lynch banker. [read post]
2 Apr 2012, 6:15 am
Okay, here’s my favorite part of the story… Leon’s net worth reportedly fell to just $1 billion after the 2008 market meltdown, but before you shed any tears… in the BOOM years since then… he’s done quite well and by 2011, was reportedly right back up to a net worth of $3.5 billion… proving that you just cannot keep a good man down. [read post]
31 Mar 2012, 8:17 pm
Kristopher William Bush, with Merrill Lynch in La Jolla, California, was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business days in relation to a finding that he conducted impermissible communications with clients. [read post]
Texas Securities Fraud: State Law Class Action in R. Allen Stanford’s Ponzi Scam Not Barred by SLUSA
28 Mar 2012, 5:01 pm
However, In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
