Search for: "Merrill Lynch & Co., Inc."
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18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [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]
23 Jul 2009, 9:37 pm
§ 1407, and Transfers Actions to Southern District of New York Thirty (30) individual and class action lawsuits were filed against Bank of America and other defendants arising out of “alleged misrepresentations and omissions made in the context of Bank of America’s acquisition of Merrill Lynch & Co., Inc. [read post]
26 Oct 2009, 9:57 am
The loans were made by Merrill Lynch International Finance Inc. [read post]
29 Aug 2012, 7:45 am
Merrill Lynch Inc. and Bank of America Corporation, Law Div., HUD-L-3855-09, BARRY P. [read post]
3 May 2020, 10:03 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to January 2009. [read post]
10 Apr 2021, 9:51 am
Adviser Michael Greenstone (Greenstone), currently employed at Merrill, Lynch, Pierce, Fenner & Smith, Inc. [read post]
13 Dec 2010, 7:04 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch & Co., Inc., Defendants-Appellees, 10-889-cv (2d Cir., Nov. 22, 2010).The Second Circuit described three factors to be considered when determining whether a party has waived its right to arbitration: (1) the time elapsed from when litigation commenced until the request for arbitration; (2) the amount of litigation to date, including motion practice and discovery; and (3)… [read post]
19 Jun 2008, 12:15 pm
John Thain, Merrill Lynch, $83.1 million2. [read post]
14 Oct 2014, 11:24 am
Ramos of the New York Supreme Court for the County of New York, Commercial Division entered an order dismissing an amended complaint brought by Phoenix Light SF Limited, Silver Elms CDO PLC, Silver Elms CDO II Limited, and Kleros Preferred Funding V PLC against Merrill Lynch & Co., Inc. [read post]
21 Apr 2009, 8:12 am
Credit default swaps played a major role in the credit crisis that brought the downfall of Lehman Brothers Holdings, the bailout and restructuring of American International Group Inc., and Merrill Lynch & Co. being absorbed by Bank of America Corp. [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]
4 Apr 2018, 7:33 am
Barry Jones Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
18 Jun 2007, 1:02 pm
Merrill Lynch & Co., Inc., No. 06-1867 (9th Cir. [read post]
4 Apr 2012, 2:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. in which George McReynolds is suing the defendants on behalf of himself and approximately 700 current and former employees of Merrill Lynch (a branch of Bank of America) for discrimination which led to them getting paid less and having fewer opportunities for advancement than their white co-workers. [read post]
9 Feb 2009, 3:09 pm
Various companies, including Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
27 Feb 2013, 8:35 pm
§ 3; In re Merrill Lynch Trust Co. [read post]
27 Feb 2013, 8:35 pm
§ 3; In re Merrill Lynch Trust Co. [read post]
5 Jul 2008, 10:17 pm
” In re Merrill Lynch & Co., Inc., Securities, Derivative & "ERISA" Litig., ___ F.Supp.2d ___ (Jud.Pan.Mult.Lit. [read post]
15 Sep 2008, 7:16 pm
The insurance giant rejected offers from buyout firms KKR & Co., TPG Inc. and J.C. [read post]
