Search for: "Merrill Lynch Financial Markets Inc."
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27 Mar 2012, 8:13 pm
FINRA says that Citigroup Inc. subsidiary Citi International Financial Services LLC must pay over $1.2M in restitution, fines, and interest over alleged excessive markdowns and markups on agency and corporate bond transactions and supervisory violations. [read post]
17 Feb 2012, 6:28 am
There are going to be five panels: Financial Markets, Marketing, Clean Technology, Government, and Real Estate. [read post]
3 Feb 2012, 11:43 am
Bank of America and Merrill Lynch (now merged) settled 15 cases, but received 39 waivers. [read post]
28 Jan 2012, 9:59 pm
A lot of microcap stocks are traded in the over-the-counter market. [read post]
24 Jan 2012, 7:16 am
Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS AG and Wells Fargo & Co. have also lost market share by terminating lower producing brokers. [read post]
17 Jan 2012, 9:00 pm
The Securities Industry and Financial Markets Association wants the Financial Industry Regulatory Authority Inc. to prevent brokers from being able to plead poverty to escape arbitration payment orders. [read post]
14 Jan 2012, 8:52 am
This will rank it third behind Morgan Stanley Smith Barney and just under Bank of America Corp.'s (BAC) Merrill Lynch. [read post]
7 Jan 2012, 12:35 pm
Popper previously worked for four financial firms, including Merrill Lynch Pierce Fenner & Smith Inc. and Workman Securities Corp. [read post]
6 Dec 2011, 4:55 pm
Bank of America, Corp. has agreed to pay investors $315 million to settle their class action claim accusing Merrill Lynch of misleading them about the risks involved in investing in mortgage-backed securities. [read post]
1 Dec 2011, 1:58 pm
Merrill Lynch Professional Clearing Corp. 63.7M Source: Securities Arbitration Commentator Inc. [read post]
28 Nov 2011, 1:22 pm
Motorola, Inc. [read post]
28 Nov 2011, 10:28 am
Rakoff has turned down the proposed $285M settlement between the SEC and Citigroup Global Markets Inc. [read post]
21 Oct 2011, 4:59 pm
Financial services firms Barclays Capital, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Morgan Stanley & Co., Inc., (the Firms) sued news aggregator (pdf) Theflyonthewall.com (Fly) for copyright infringement and for committing the New York state law tort of “hot news” misappropriation. [read post]
18 Aug 2011, 7:49 pm
The defendants of the other complaints are Countrywide Financial, Bank of America Corp., Morgan Stanley , Merrill Lynch and Co, JPMorgan Chase & Co, Citigroup Inc., Deutsche Bank AG, and Credit Suisse Group: • The securities lawsuit against Countrywide is over $700 million of toxic MBS that the insurer purchased. [read post]
6 Aug 2011, 5:02 pm
Instead, they contend that the funds were marketed and sold as high yielding, diversified, and conservative investments. [read post]
29 Jul 2011, 5:10 pm
Merrill Lynch & Co. [read post]
21 Apr 2011, 7:49 pm
Merrill Lynch & Co. [read post]
26 Mar 2011, 11:25 am
Madoff Investment Securities Inc., Bear Stearns and Co, and Stanford Financial Group. [read post]
11 Mar 2011, 2:28 pm
Heightening concerns for some of them: Far fewer newly issued muni-bonds are insured now—6.2%, versus 57% in 2005, according to Bank of America Merrill Lynch. [read post]
7 Mar 2011, 12:17 pm
Accordingly, any claims against the stockbrokers associated with these underwriters, which include Morgan Stanley, Merrill Lynch, Citigroup, Wachovia, UBS Financial Services, and others, and which include claims for the recommendation of unsuitable investments, the failure to conduct due diligence, breach of fiduciary duty, and the failure to supervise, are also included. [read post]
