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6 Aug 2015, 3:00 pm
Thiel, Head of Merrill Lynch Wealth ManagementAll three Governors are newly elected.Governors AppointedTwo individuals were named to the Board as Governors:Kathleen A. [read post]
21 Feb 2020, 1:29 am
In today's featured FINRA regulatory settlement, we come across the case of a Merrill Lynch employee who signed off on agreements without apparent authorization. [read post]
18 Mar 2015, 4:45 am
New York, and New York City in particular, is home to a huge banking industry that represents some of our nation’s largest financial institutions, including American Express, JPMorgan Chase, Goldman Sachs and Merrill Lynch. [read post]
26 Apr 2019, 1:47 am
FINRA Bars Former Merrill Lynch and Wells Fargo Rep. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor Sues… [read post]
17 Sep 2018, 9:58 am
Presented in today's BrokeAndBroker.com Blog is a dispute in which two former Citigroup Global Markets customers sued the brokerage firm for trades that were recommended in 1999 when they had accounts at Merrill Lynch. [read post]
12 Sep 2022, 4:45 am
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)xBanker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens Without… [read post]
12 Sep 2022, 4:45 am
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery (BrokeAndBroker.com Blog)SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering (SEC Release)The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)Banker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)SEC Charges Loop… [read post]
28 Aug 2017, 4:20 am
UPDATE: Merrill Lynch FINOP Cited By SEC For Unprecedented Violations http://www.brokeandbroker.com/3580/sec-tirrell-oip/Pursuant to the terms of the settlement, the SEC revised its allegations from asserting that Tirrell had "knowingly reduced" the reserves to his having "caused" the firm to do same. [read post]
13 Apr 2017, 10:43 am
Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card You hear about the FINRA regulatory settlement involving the employee who submitted personal charges for reimbursement except he claimed that some mystery man had misused his credit card but then sought reimbursement anyway but later paid all the charges including a first-class-flight ticket even though he testified that he was forced to buy that first-class ticket because a supervisor kept him late and… [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman,… [read post]
29 Apr 2012, 9:39 pm
May 1, 2012 - Prometheus in the Post-Bilski Age: Patentable Subject Matter Under Continued Attack (Strafford) - 1:00 - 2:30 pm (EDT) May 2, 2012 - Patent Prosecution under the AIA: Strategies for Before, During and After the Transition to First-Inventor-to-File (American Intellectual Property Law Association) - 12:30 - 2:00 pm (Eastern) May 2, 2012 - Patent Reform Strategies in the Life Sciences: Assessing 'First-to-File' and Freedom to Operate under the New Rules (Elsevier Business… [read post]
9 Oct 2020, 8:45 am
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals (BrokeAndBroker.com Blog)Former Office Manager Sentenced To More Than 5 Years In Federal Prison For Stealing $790,600 (DOJ Release)Unlicensed New Jersey Investment Adviser Charged with Defrauding Clients Out of More than $2 Million (DOJ Release)Convicted Fraudster Pleads Guilty To New Fraud Scheme, Plea Agreement Includes Stipulated 10-Year Sentence / Scheme Resulted in Alleged Loss to Investors of at Least $7 million (DOJ… [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms Failed… [read post]
11 Jul 2020, 3:43 am
Penney Traders Beg Judge to Save Them From Wipeout (Bloomberg by Eliza Ronalds-Hannon)New Hampshire investigates Merrill Lynch after clients allege $200 million in damages (CNBC by Dawn Giel, Scott Coh... [read post]
8 Aug 2022, 4:02 am
TAT Capital Partners, Ltd, Defendant/Respondent (Opinion, Court of Appeal for the State of California)Former Investment Adviser Sentenced to Five Years for Defrauding his Clients of More than $7 Million (DOJ Release)Order Determining Whistleblower Award Claims <a href="#mendez">FINRA Bars Merrill Lynch NRF for Overtime CompensationIn the Matter of Jolam Mendez, Respondent (FINRA AWC)</a><a href="#stoakes">FINRA Fines and Suspends Rep for Electronic… [read post]
4 Oct 2019, 8:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4844/securities-industry-commentator/Ponzi Scheme Promoter Sentenced to 22 Years in Federal Prison for $396 Million Scheme—The Largest Ever Charged in Maryland / Kevin Merrill Also Obstructed Justice After his Arrest; SEC Has Related Civil Action / Defrauded Investors Across the Country (DOJ Release)SEC Obtains Sanctions Against Lek… [read post]
15 Sep 2008, 7:16 pm
Joining the ranks of Bear Sterns, Merrill Lynch and ten other banks so far, Lehman did not survive the credit crunch listing more than $613 billion of debt on its books. [read post]
15 Nov 2007, 6:53 am
While views are split on the Merrill and Poshard plagiarism matters, this story from Phillipsburg, New Jersey is hard to believe:Principal Mary Jane Deutsch doesn't believe she plagiarized when she copied the work of a Texas therapist without permission for her column in the high school newsletter. (...)But copying the essay is not plagiarism, she said, because, "I'm not being graded. [read post]
