Search for: "Merrill Lynch & Company Incorporated"
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27 Aug 2018, 10:22 am
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
11 Jul 2023, 9:11 am
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]
28 Jun 2018, 2:11 pm
His most recent employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Louisville, KY, from 07/16/2010 through 01/26/2018. [read post]
11 Jul 2023, 11:12 am
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]
27 Mar 2019, 11:21 am
Merrill Lynch Sanctioned for Alleged ADR Violations According to a press announcement this week, Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay more than $8 million to settle SEC charges of infractions related to American Depositary Receipts (ADR), the U.S. securities representing foreign shares in foreign companies. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
19 Dec 2017, 10:43 am
FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million. [read post]
10 Jul 2017, 12:59 pm
As of January 1, 2015, Merrill Lynch, Pierce, Fenner & Smith Incorporated operates as a subsidiary of BAC North America Holding Company. [read post]
24 Aug 2009, 12:49 pm
In each of the quarterly reports publicly filed by Merrill Lynch in 2008 – which were part of the Proxy Statement, as incorporated by reference under the SEC rules – Merrill Lynch disclosed in both its financial statements and the accompanying discussion and analysis that it was accruing compensation and benefits expenses of roughly $3.5 billion each quarter. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
22 Mar 2019, 8:55 am
The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).ADRs – U.S. securities that represent foreign shares of a foreign company – require a corresponding number of foreign shares to be held in custody at a depositary bank. [read post]
22 Apr 2015, 7:12 am
According to news sources, Thomas Buck (Buck) and his daughter Ann Buck, were recently terminated by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under unusual circumstances. [read post]
18 Jan 2010, 8:00 am
The Commission's complaint alleges the failure of BofA to disclose substantial losses incurred by Merrill Lynch just before the shareholder vote on December 5. [read post]
3 Nov 2016, 2:13 pm
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
24 Jul 2015, 6:01 am
Buck’s team managed nearly $1.5 billion in investor assets, was one of the company’s largest producers, and has been associated with Merrill Lynch since. [read post]
3 Oct 2018, 9:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Christopher Hibbard (Hibbard), formerly associated with Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Merrill Lynch) in Louisville, Kentucky was terminated for cause by Merrill Lynch in January 2018 after the firm made allegations that Hibbard engaged in conduct including unauthorized transactions and theft. [read post]
21 Feb 2010, 5:00 am
” Nevertheless, the company continued with the merger without disclosing any of Merrill’s losses. [read post]
13 Jul 2018, 7:17 am
From June 2006 to March 2016, James was registered with Merrill Lynch. [read post]
