Search for: "Merrill Lynch Corporation"
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29 Jun 2016, 3:25 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:On June 23, Bank of America Corporation though its brokerage firm Merrill Lynch agreed to pay a $415 million settlement award to the Securities and Exchange Commission. [read post]
23 Jun 2016, 7:25 am
According to the SEC announcement, the notes were issued by Merrill Lynch’s parent company Bank of America Corporation, and Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
23 Jun 2016, 7:15 am
But the offering materials failed to adequately disclose a third cost included in the volatility index known as the “execution factor” that imposed a cost of 1.5 percent of the index value each quarter.The notes were issued by Merrill Lynch’s parent company Bank of America Corporation, and Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
23 Jun 2016, 7:15 am
Its subsidiary Merrill Lynch Professional Clearing Corporation is charged with violating Sections 15(c)(3) and 17(a)(1) and Rules 15c3-3, 17a-3(a)(10) and 17a-5(a). [read post]
6 Jun 2016, 5:37 am
Before grad school, I spent one year in investment banking and two years in capital markets at Bank of America Merrill Lynch covering financial institutions. [read post]
6 Jun 2016, 5:37 am
Before grad school, I spent one year in investment banking and two years in capital markets at Bank of America Merrill Lynch covering financial institutions. [read post]
3 Jun 2016, 6:19 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, June 3, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of May 27–June 2, 2016. [read post]
31 May 2016, 7:51 am
On the Contrary, Federal Reserve officials offer a contrasting opinion, pointing to more interest rate hikes amid falling unemployment.Fridson’s analysis uses monthly junk-bond spreads since 1986, using Bank of America Merrill Lynch index data. [read post]
9 May 2016, 6:06 am
Bank Of America Corporation, Bank Of America Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Defendants (Complaint, SDNY, 16-CV-03653, May 16, 2016).BackgroundThe Complaint c... [read post]
2 May 2016, 6:16 pm
Lopez has represented clients against some of the largest financial institutions including Merrill Lynch, Morgan Stanley, UBS Paine Webber, Salomon-Smith Barney, CitiGroup, Credit Suisse First Boston and Prudential Securities. [read post]
21 Apr 2016, 8:06 am
In addition, it served as trustee for certain diocesan funds invested with the brokerage firm of Merrill Lynch, Pierce, Fenner and Smith. [read post]
22 Feb 2016, 4:36 pm
As a result of this decision, several states began to enact corporate indemnification statutes.8 In 1967, the State of Delaware passed new indemnification laws specifically authorizing corporations to purchase D&O liability insurance; by 1973, 25 other states had followed Delaware’s lead.9 Until this time, it was unclear if a corporation could legally pay the cost of the individual liability of a director or officer under the corporate… [read post]
5 Feb 2016, 1:25 pm
If the Commission does not adopt the requirement, the adviser asked that it at least provide guidance to companies regarding voluntary reporting on pay equity to their investors.Pax Ellevate is the adviser to Pax Ellevate Global Women’s Index Fund, and is chaired by Sally Krawcheck, the former CFO of Citigroup who also held management positions at BofA Merrill Lynch and Smith Barney. [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]
10 Dec 2015, 6:32 am
Not more than two years ago he compared RCAP to Wall Street greats Merrill Lynch and Raymond James Financial, Inc. and planned on establishing the next brokerage powerhouse. [read post]
8 Nov 2015, 6:27 pm
Therefore, the court granted the motion to dismiss as to Merrill Lynch and the complaint was also dismissed. [read post]
8 Nov 2015, 5:40 pm
., footnote 182 (citing Merrill Lynch, Pierce Fenner & Smith, Inc. v. [read post]
2 Nov 2015, 5:00 am
By Matthew Garza, J.D.A claim against Merrill Lynch for aiding and abetting a breach of duty by directors of Zale Corporation was dismissed after the Delaware Court of Chancery accepted that it had misinterpreted the correct standard to apply to the underlying breach-of-duty claim. [read post]
12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
11 Aug 2015, 5:59 am
David StevensonCase Number: 15-cv-03528 (United States District Court for the District of New Jersey)Case Filed: May 26, 2015Qualifying Judgment/Order: May 29, 2015 6/30/15 9/28/15 2015-63 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015 6/30/15 9/28/15 2015-62 SEC v. [read post]
