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SEC charges Merrill Lynch and parent BAC North America Holding Co. for failing to file hundreds of Suspicious Activity Reports and will pay $12 million to settle.
11 Jul 2023, 11:12 am by jeffreynewmanadmin
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports
11 Jul 2023, 9:11 am by Mark Astarita
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
WOL lotta trouble ABN Amro's in
6 May 2007, 5:24 am
ABN Amro Holding NV (Euronext, NYSE: ABN) got served a double defeat in Amsterdam courts Thursday, in cases regarding its role in the initial public offering of World On Line International NV (World Online, also commonly referred to as WOL) and regarding the sale of its US subsidiary ABN AMRO Bank North America Holding Company (LaSalle Bank) to Bank of America (NYSE: BAC). [read post]
With Vigour and Zeal - http://kranenburgesq.com/blog
Are Textalyzers the Answer to Curbing Distracted Driving?
22 Nov 2016, 1:00 am by Ben Cochran
Americas told CNN. [read post]
Hardison & Cochran Blog - http://www.lawyernc.com/blog/
Merrill Lynch, Pierce, Fenner & Smith Censured and Fined
10 Jul 2017, 12:59 pm by Renae Lloyd
 As of January 1, 2015, Merrill Lynch, Pierce, Fenner & Smith Incorporated operates as a subsidiary of BAC North America Holding Company. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Shovel them under and let me work
5 Aug 2011, 6:44 am by admin
  Bank of America had 40,000 foreclosures in the first quarter, saddling the Charlotte, North Carolina-based lender with taxes and maintenance costs. [read post]
AHI: United States - http://affordablehousinginstitute.org/blogs/us
SEC Announces Enforcement Results for Fiscal Year 2023
14 Nov 2023, 9:01 pm by renholding
Failures by Insiders and Major Shareholders to Timely File Required SEC Forms The SEC filed eleven actions as part of an initiative focused on ownership reports that company insiders are required to file regarding their holdings of company stock. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC imposed over $5 Billion in financial fines and more than $600 million in whistleblower rewards
15 Nov 2023, 6:26 am by jeffreynewmanadmin
Citadel paid a $7 million civil penalty to resolve the charges and consented to a set of undertakings, including a written certification that the coding error had been remediated and a review of the firm’s computer programming and coding logic involved in processing relevant transactions; and The SEC charged Merrill Lynch and its parent company, BAC North America Holding Co., with failing to file hundreds of Suspicious Activity Reports from… [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/