Search for: "Bank of America Securities, LLC"
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31 May 2024, 11:49 am
Merrill, a subsidiary of Bank of America, has been a FINRA member since 1937 and operates over 4,100 branches with more than 28,000 registered representatives. [read post]
22 May 2024, 4:03 am
Bank of America, N.A. subsequently acquired Countrywide Bank, N.A. [read post]
17 May 2024, 11:26 am
Over a quarter of the fines handed out by FINRA last year can be attributed to the $24 million fine received by Bank of America Securities, Inc. for engaging in “spoofing” and related supervisory failures. [read post]
7 May 2024, 9:31 am
As artistic director of his LLC, Thomas would utilize his law degree to negotiate favorable contracts to secure acting and violinist jobs, and would also rely on the knowledge gained as part of his bachelor’s degree program in English Literature with Shakespeare Studies when auditioning for acting roles. [read post]
24 Apr 2024, 12:17 pm
According to Bloomberg, the CFTC “has reached out to a number of banks, including JPMorgan Chase & Co., Bank of America Corp. and Citigroup Inc. [read post]
22 Mar 2024, 7:22 am
The Constantine Cannon whistleblower team is pleased to announce a $70 million settlement for its client Edelweiss Fund LLC in a whistleblower lawsuit against eight of the nation’s largest banks, making it the largest reported settlement ever under the Illinois False Claims Act. [read post]
21 Mar 2024, 12:48 pm
The defendant banks included: Bank of America, Barclays, Citigroup, JPMorgan Chase, Morgan Stanley, Fifth Third Bancorp, BMO, and William Blair. [read post]
28 Feb 2024, 6:37 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
Investigators confirm wet weather at time of helicopter crash that killed 6 in San Bernardino County
12 Feb 2024, 5:18 am
The French-made helicopter was chartered from Orbit Air, LLC in Burbank, he said. [read post]
24 Jan 2024, 4:29 pm
On September 29, Goldman Sachs, JP Morgan, and Bank of America agreed to pay a total of roughly $53 million to settle CFTC charges relating to a variety of swap dealer activities including failures related to swap data reporting. 10 — Exelon (SEC). [read post]
28 Dec 2023, 9:05 pm
In addition, the Federal Highway Administration issued a notice under the Build America, Buy America Act that requires manufacturers to build all of their federally funded EV chargers in the United States. [read post]
1 Dec 2023, 9:17 am
In the afternoon session on diversity in investment, the Committee heard from Anna Snider (Bank of America) on how diversity metrics are incorporated into the investment process.Gensler. [read post]
15 Nov 2023, 6:26 am
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
11 Oct 2023, 11:17 am
Bank of America, require banks to pay at least 2% interest annually on escrow accounts associated with residential mortgages. [read post]
3 Oct 2023, 8:44 am
Morgan Securities LLC, and J.P. [read post]
25 Sep 2023, 12:27 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
21 Aug 2023, 9:42 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
8 Aug 2023, 12:22 pm
Fines for other firms—including Bank of Montreal, BMO Capital Markets Corp., BNP Paribas, Houlihan Lokey Capital, Inc., Mizuho Securities USA, Moelis & Company LLC, SMBC Nikko Securities America, Inc., Société Générale, and Wedbush Securities Inc. [read post]
8 Aug 2023, 9:31 am
Separately, the Commodity Futures Trading Commission announced settlements with Wells Fargo Bank NA, Wells Fargo Securities, LLC, BNP Paribas Securities Corp., BNP Paribas S.A., SG Americas Securities, LLC, Société Générale S.A., Bank of Montreal, and Wedbush Securities Inc., for related conduct. [read post]
