Search for: "MERRILL LYNCH CREDIT CORPORATION"
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15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
14 Nov 2023, 9:01 pm
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery scheme. [read post]
20 Aug 2023, 9:01 pm
Sometimes, the corporation made no public statement about the specifics of the underlying event before it transpired, but plaintiffs nonetheless assert that general statements—such as statements about corporate policies or business risks—propped up the share price until the negative event revealed those statements to be false. [read post]
28 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
21 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
16 Sep 2022, 4:30 am
Nicholas’ Prior Misconduct Nicholas began his career in 2016 as a registered broker and investment advisor with Merrill Lynch. [read post]
27 Jul 2022, 10:04 am
Stewart was charged alongside her former Merrill Lynch broker, Peter Bacanovic, for their involvement in a sale of $230,000 worth of ImClone Systems stock just one day before the FDA announced that it would not review the company’s cancer drug application. [read post]
23 Jul 2021, 12:55 pm
Under the BrokerCheck heading "Employment Separation After Allegations," both Merrill Lynch and BofA Securities/Merrill Lynch reported that Singh had been "discharged" on September 20, 2019, based upon allegations of "Conduct involving the use of a corporate credit card inconsistent with firm policy. [read post]
13 Jul 2021, 5:30 am
So troubling clues existed for those with a diligent and discerning eye for numbers and financial statement footnotes, but when Merrill Lynch, among other Wall Street firms, rated Enron a strong buy in late September/early October of 2001, who really needed to look that hard? [read post]
26 Sep 2020, 1:59 am
Craig Zabala also reportedly used close to $600,000 investor funds to cover charges on his personal American Express credit card. [read post]
26 Sep 2020, 1:59 am
Craig Zabala also reportedly used close to $600,000 investor funds to cover charges on his personal American Express credit card. [read post]
6 Aug 2019, 11:00 pm
They would quickly, I suppose, fall into a really terrible habit of using credit cards or debt. [read post]
6 Oct 2018, 1:00 am
This week on Make It Last, Victor gives details on why a portfolio is not a plan, a newly proposed NJ fiduciary rule, as well as a glimpse as to why NJ has been ranked as the worst tax structure in the nation. [read post]
12 Jun 2018, 8:51 am
Courtesy of LAWA The bonds were underwritten by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Ramirez & Co., Inc. [read post]
17 May 2018, 12:45 pm
The other, for $129.6M, settled claims tied to alleged losses for corporate credit unions Southwest and Members United bought RMBSs. [read post]
21 Feb 2018, 10:42 am
He has multiple customer complaints listed on his BrokerCheck report, and was dismissed from his former employer, Merrill Lynch, Pierce, Fenner and Smith in 2008 for allegations of exercising discretion in a customer’s account without written authorization. [read post]
3 Feb 2018, 12:00 am
I can’t tell you how many times we’ve come across somebody who says, “Well, I like my money with Merrill Lynch, Morgan Stanley, or one of these large ones because they’re these big institutions. [read post]
27 Jan 2018, 12:00 am
A lot of people have decided that they don’t want to be working with the traditional brokers ‑‑ the Merrill Lynches and the Morgan Stanleys, these large organizations ‑‑ they’re going to go to a discount broker. [read post]
14 Dec 2017, 10:48 pm
Bank of America acquisition of Merrill Lynch $2.4 billion In 2013, a federal judge in New York issued final approval to a $2.4 billion settlement stemming from the failure of mortgage-backed securities and Bank of America’s acquisition of Merrill Lynch & Co. [read post]
29 Jul 2017, 9:56 am
., AS TRUSTEE FOR MERRILL LYNCH MORTGAGE INVESTORS TRUST, MORTGAGE LOAN ASSET-BACKED CERTIFICATES, SERIES 2005-WMCI, Plaintiff,v.KENNETH E. [read post]
