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24 Oct 2007, 8:03 am
That was the old joke that came to mind on Wednesday when, during a conference call to discuss Merrill Lynch’s dismal third-quarter earnings, E. [read post]
14 Nov 2011, 9:55 am
When Bank of America acquired Merrill Lynch in September 2008, it negotiated certain deal terms affecting deferred compensation for the financial advisors. [read post]
3 Nov 2021, 7:14 am
According to the reports from Finra, it finalized its sanctions against Merrill, and accepted a settlement letter from a 30-year Merrill veteran in Chattanooga, Tennessee, and another from a 35-year industry veteran in Charlotte, North Carolina. [read post]
2 Nov 2015, 5:00 am
Signet was let off the hook because it was not shown to have known about Merrill Lynch’s disclosure failure, but Merrill Lynch was unable to shake the aiding and abetting claim because investors pleaded that its representative consciously chose not to disclose the conflict.Clarifying holding. [read post]
30 Aug 2016, 2:21 pm
The investment and securities fraud attorneys at Malecki Law are interested in hearing from investors who have purchased structured notes or other complex products from Merrill Lynch or its parent company, Bank of America. [read post]
30 Aug 2016, 2:21 pm
The investment and securities fraud attorneys at Malecki Law are interested in hearing from investors who have purchased structured notes or other complex products from Merrill Lynch or its parent company, Bank of America. [read post]
7 Jan 2010, 1:41 pm
The broker in the case, Todd Gutkin, left Merrill Lynch in April. [read post]
27 Aug 2018, 10:22 am
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
22 Dec 2020, 10:02 am
Since leaving Merrill Lynch, Mr. [read post]
18 Jan 2010, 5:00 am
Merrill Lynch had to approve the merger; shareholders of BofA had to approve the issuance of the shares used to acquire Merrill Lynch. [read post]
17 Oct 2011, 8:25 am
This week, FINRA announced that it has charged Merrill Lynch with failing to supervise one of its employees who successfully ran a Ponzi scheme using Merrill Lynch accounts. [read post]
19 Feb 2020, 7:05 am
Fired Merrill Lynch Broker Barred By FINRA Indefinitely If you were an investor who sustained losses while working with Ma Rosa Linan Abrego, contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
4 Jun 2020, 1:11 pm
In addition, Merrill Lynch did not reasonably monitor for missed reinstatements. [read post]
19 Mar 2010, 2:21 am
Merrill Lynch tipped off U.S. regulators like the Securities Exchange Commission and the Federal Reserve that Lehman Brothers was playing with how it booked its capital in 2008, The Financial Times reported. [read post]
1 Jul 2009, 9:43 am
Citigroup's global head of energy mergers and acquisitions is making the move to Bank of America Merrill Lynch to become a managing director in the firm's energy practice. [read post]
26 Feb 2009, 1:55 pm
Ackert, a senior banker from Bank of America Merrill Lynch, to establish its transportation and infrastructure team. [read post]
3 Aug 2009, 11:33 am
The SEC and Bank of America settled charges that Bank of America misled investors about billions of dollars in bonuses that were being paid to Merrill Lynch & Co. executives at the time of its $50 billion acquisition of the... [read post]
25 Jan 2012, 12:21 pm
The Financial Industry Regulatory Authority sanctioned Merrill Lynch for requiring former brokers to settle disputes over "retention bonuses" in New York State court instead of an authority arbitration panel. [read post]
5 Oct 2009, 3:01 pm
strong>Morgan Stanley has hired Kevin Dunleavy from Bank of America Merrill Lynch to be a managing director in the firm's sales and trading division. [read post]
30 Mar 2011, 5:01 am
A former Merrill Lynch executive, Ahmass Fakahany, has been awarded $1.2 million in compensatory damages in an employment-related claim against the Wall Street investment bank. [read post]
