Search for: "Merrill Lynch Financial Markets Inc."
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14 Nov 2018, 2:54 pm
They are: · Former Merrill Lynch broker Terrance Hood · Ex-RBC Capital Markets broker Jonathan Freehill · Former Signator Investors broker Dennis Ferwerda Ex-Merrill Lynch Broker Accused of Falsifying Receipts Terrance Hood was a Merrill Lynch broker in San Antonio, Texas. [read post]
31 Oct 2008, 4:53 pm
 According to Investment News, in the middle of gut-wrenching times for the stock market, top-producers at Merrill Lynch & Co. [read post]
29 Jul 2011, 5:10 pm
Merrill Lynch & Co. [read post]
2 Apr 2009, 11:52 am
http://www.aboutlawsuits.com/merrill-lynch-investor-arbitration-claim-award-3408/April 2nd, 2009 An arbitration panel through the Financial Industry Regulatory Authority (FINRA) awarded an investor $30.6 million in compensatory damages and $9.2 million in interest against Merrill Lynch as a result of the negligence of one of their subsidiary broker-dealers. [read post]
29 Jul 2019, 1:27 pm
Department of Justice, two former Merrill Lynch commodities traders allegedly engaged in a multi-year scheme to mislead the market for precious metals futures contracts traded on the Commodity Exchange Inc. [read post]
24 Aug 2009, 12:49 pm
" Second: The intention of Merrill Lynch & Co., Inc. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS Securities, L.L.C.; E*TRADE… [read post]
22 Jan 2011, 10:54 am
Inc. of concealing the risks involved in investing in the subprime mortgage market. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
28 Sep 2016, 8:27 am
The Financial Industry Regulatory Authority fined Merrill Lynch on behalf of the three largest U.S. exchange operators an additional $3 million for the infractions. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
11 Feb 2009, 8:15 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., Federal District Court Filings and Dockets, Justia Related Web Resources: TGS-NOPEC Geophysic Merrill Lynch Pierce Fenner & Smith Inc. [read post]
22 Sep 2009, 2:26 pm
The board determined that not only did Merrill Lynch not tell investors that the market could very well collapse, but also that the broker-dealer offered financial associates sales incentives to sell ARS despite knowing that the auction process could fail. [read post]
27 May 2009, 2:25 pm
Merrill Lynch & Co. [read post]
2 Sep 2009, 2:23 pm
Inc., Auction Rate Securities (ARS) Marketing Litigation, Justia Docket [read post]
1 Apr 2008, 9:14 am
Massachusetts Secretary of the Commonwealth William Galvin is subpoenaing Merrill Lynch, Pierce, Fenner, & Smith Inc., UBS Securities, and Bank of America Investments because it wants information about the companies' involvement in selling auction-rate market securities to retail investors. [read post]
15 Jan 2014, 6:21 am
From 2004 through October 2008, Anglin was a registered representative of Citigroup Global Markets, Inc. [read post]
6 Dec 2011, 4:55 pm
Bank of America, Corp. has agreed to pay investors $315 million to settle their class action claim accusing Merrill Lynch of misleading them about the risks involved in investing in mortgage-backed securities. [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]
31 May 2007, 9:45 am
Prudential Financial Inc. continues to own 38% of Wachovia. [read post]
