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31 Jul 2007, 8:52 pm
"There are two things I worry about: Clients dying and the government putting me out of business," said a Merrill Lynch rep who says he gets about 80% of his revenue from B-shares shares and fee-based business. [read post]
29 Oct 2007, 9:06 am
CNBC had a report this afternoon on Stan O'Neal's golfing, claiming that he was pulling a Nero while Merrill burned. [read post]
11 Jun 2024, 9:15 pm
Thanks to this Toppan Merrill blog for highlighting that large accelerated filers are required to submit filing fee data in iXBRL starting July 31, 2024 (July 31, 2025 for all other filers). [read post]
16 Jan 2014, 8:18 am
Feigel, 50, and Craig Merrill Mortensen, 60, all of Fresno, California, were arrested and charged with 288 felony counts including perjury, filing false court records and preparing false evidence. [read post]
18 Nov 2015, 5:55 am
These structured products are issued by Barclays (NYSE:BCS), Morgan Stanley (NYSE:MS), Deutsche Bank (NYSE:DB), UBS (NYSE:UBS), Citigroup (NYSE:C), Bank of America Merrill Lynch (NYSE:BAC), JPMorgan Chase (NYSE:JPM), Credit Suisse (NYSE:CS), and BNP Paribas among others firms. [read post]
19 Jul 2008, 2:48 pm
., Lehman Brothers, Morgan Stanley, Bear Stearns Cos. and Merrill Lynch & Co. warned the Commonwealth of Massachusetts that the auction-rate markets were in trouble and that the state should consider refinancing some of its debt. [read post]
26 Dec 2006, 4:38 am
Merrill Lynch & Co. [read post]
15 Sep 2009, 10:00 am
In a disbelieving tone, the Judge noted the contention made by the SEC that “executives at the Bank expressly approved Merrill’s making year-end bonuses before they issued the proxy statement denying such approval”. [read post]
27 Sep 2022, 11:48 am
She was previously employed as a broker with Invest Financial Corporation (CRD#:12984) of Palm Beach Gardens and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Lake Worth, FL. [read post]
31 Aug 2007, 12:15 pm
In this case, the plaintiff initiated an arbitration proceeding against Merrill Lynch and the broker in his capacity as agent for Merrill Lynch. [read post]
7 Aug 2009, 3:58 am
Among other things, the SEC said that the bank falsely represented to both its own shareholders and to the Merrill Lynch shareholders that Merrill had agreed not to pay year-end bonuses to the firm's executives when, in fact, the bank had agreed that Merrill could pay such bonuses up to as much as $5.8 billion. [read post]
10 Sep 2012, 6:40 am
” Merrill, who opened Calyx in 1994, is a techie, not a lawyer. [read post]
2 Feb 2010, 1:57 pm
BofA would issue shares to Merrill shareholders, issuing 0.8595 BofA shares of common stock for every share of Merrill common stock. [read post]
25 Nov 2013, 9:00 am
In those cases – what we here at Suits by Suits consider our bread-and-butter cases – the employer may want to think twice about binding arbitration due principally to the risks of being stuck with an almost entirely unappealable adverse ruling; we’ve previously discussed how this has turned out poorly for employers such as Merrill Lynch and BDO. [read post]
13 Apr 2014, 6:24 am
In 2005, the corporations that controlled the car manufacturer Fiat, renegotiated a financial contract (equity swap) with Merrill Lynch. [read post]
25 Mar 2016, 7:00 am
A former risk officer at Morgan Stanley Smith Barney LLC has filed suit claiming he was fired for reporting a variety of infractions by the firm's registered representatives, including the churning of preferred securities by a star broker the firm recruited last year from rival Bank of America Merrill Lynch.Chief among the claims was that late last year, he discovered that one of the firm's newest wealth managers “was flipping preferred securities in a manner that was… [read post]
16 Mar 2017, 7:22 pm
It also identifies the top plaintiffs, defendants their law firms and outcomes including damages.All cases are coded into one of the five categories of litigation: Securities Fraud (§ 10(b) / 10b-5), CFTC Enforcement, SEC Enforcement Contested, SEC Enforcement Settled Complaint and Shareholder Derivative Suits.SEC Enforcements With a Settled Complaint Key findings on 2006- 2016 Trends:There was a 23% increase in securities litigation in 2016 over 2015.Citigroup, Merrill Lynch… [read post]
28 Dec 2015, 5:49 am
The no-action relief granted by the Board is similar to the practice in the brokerage industry that has been codified in FINRA Rule 2040 (b) in which, prior to that date, was sanctioned by a FINRA no-action letter issued to Merrill Lynch in March 2012. [read post]
19 Nov 2015, 5:00 am
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
24 Apr 2014, 6:08 am
For example, it has been reported that senior executives at both AIG and Merrill Lynch tried to warn their respective management teams of excessive exposure to subprime mortgages, but were rebuffed or ignored. [read post]
