Search for: "Merrill Lynch "
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7 Jan 2013, 2:04 pm
Bank, acting in its capacity as Trustee for two Merrill Lynch RMBS trusts that issued over $1 billion in RMBS certificates, filed a complaint in New York Supreme Court against Merrill Lynch. [read post]
15 Jun 2018, 7:23 am
According to the SEC’s order, Merrill Lynch traders and salespersons allegedly convinced the bank’s customers to overpay for RMBS by deceiving them about the price Merrill Lynch paid to acquire the securities. [read post]
5 Apr 2012, 6:42 am
Of course, Merrill Lynch immediately filed a petition with a federal court in Florida seeking to overturn the decision, but the decision nonetheless validates the strength of these deferred compensation claims against Merrill Lynch. [read post]
4 Oct 2011, 12:10 pm
FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch's branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme.... [read post]
27 Mar 2019, 11:21 am
Merrill Lynch allegedly improperly handled the “pre-release” of ADRs. [read post]
20 Aug 2010, 9:04 am
Merrill Lynch also approved for distribution, and for use in client presentations, inaccurate and misleading UIT sales literature. [read post]
21 Aug 2018, 6:43 am
The post Merrill Lynch Settles Charges for $8.9 Million appeared first on White Securities Law. [read post]
22 Apr 2015, 3:15 am
Merrill Lynch didn’t report, at all, another 120,000 transactions. [read post]
28 Aug 2018, 6:51 am
According to BrokerCheck records financial advisor Charles Kenahan (Kenahan), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to four customer complaints. [read post]
24 Jun 2016, 1:12 pm
News media outlets have reported that Merrill Lynch clients have lost most of their investments in a $150 million fund. [read post]
4 Sep 2018, 9:36 am
Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change According to reports this week, Merrill Lynch said on Thursday it is reintroducing commissions for its retirement accounts, reversing a policy put in place to comply with Pre-Trump Fiduciary Rule regulation. [read post]
16 Sep 2010, 4:47 pm
The Wall Street Journal has this story: In the latest twist in the government's multi-year prosecution of the Enron Corp. scandal, the Justice Department moved Wednesday to drop charges against a former Merrill Lynch & Co. official days before a... [read post]
26 May 2011, 1:55 pm
FINRA announced today that it fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations (RMBS). [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]
13 Jan 2010, 6:28 pm
” On January 12, 2010, the SEC filed a separate lawsuit concernig these new allegations made in connection with its merger with Merrill Lynch. [read post]
29 Dec 2020, 7:40 am
The post Merrill Lynch Discharges Broker Forrest Jones After SEC Investigation appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Nov 2007, 5:03 am
Now, he faces what could be a more formidable challenge: turning around Merrill Lynch, the once-proud Wall Street firm battered by losses from the mortgage debacle. [read post]
13 Dec 2023, 1:49 pm
King voluntarily resigned from Merrill Lynch on 4/21/2023 after allegations of “unsuitable and unauthorized trading in certain clients’ accounts. [read post]
23 Aug 2019, 1:29 pm
This week the sun has set on the near quarter of a century career of Bank of America Merrill Lynch top private wealth manager Patrick Dwyer. [read post]
2 Mar 2009, 7:45 am
In re: Merrill Lynch & Co., Inc. [read post]
