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20 Dec 2007, 8:14 pm
The class action settlement requires Merrill Lynch to pay $15 million; this is in addition to the $100 million Merrill Lynch agreed to pay to settle a separate action filed by the Attorney General of the State of New York. [read post]
12 Mar 2021, 3:43 pm
Kowalski, former Merrill Lynch financial advisors. [read post]
31 Jan 2008, 4:14 am
Merrill Lynch said on Wednesday that top executives, including Merrill President Gregory Fleming, will not receive bonuses for 2007 after the world’s largest brokerage posted $12.1 billion in net losses during the second half of the year. [read post]
12 Mar 2018, 7:43 am
Merrill Lynch will be required to pay a penalty of $1.25 million and more than $154,000 in disgorgement and prejudgment interest from commissions and fees earned on the improper sales. [read post]
29 Jun 2016, 3:25 pm
The SEC charged Merrill Lynch for misusing customer cash and failing to safeguard its securities. [read post]
1 Dec 2016, 6:34 am
Merrill Lynch neither admitted nor denied the charges. [read post]
4 Aug 2008, 9:16 pm
Related Web Resources: Secretary Galvin Charges Merrill Lynch with Fraud in Auction Rate Securities Dealings (The Complaint) Massachusetts sues Merrill Lynch over auction securities, USA Today, August 1, 2008 Merrill Lynch [read post]
9 Aug 2010, 3:36 pm
Securities regulators are studying decisions at Merrill Lynch that helped lead to the financial crisis in 2008. [read post]
13 Feb 2018, 10:45 am
Update on Securities Fraud Investigation: Tom Buck and Merrill Lynch According to a press announcement from The Securities and Exchange Commission on February 9, the regulator has barred former Merrill Lynch broker Tom Buck from the securities industry. [read post]
14 Nov 2017, 1:58 pm
Mary’s College of Maryland, along with trustee and alumnus John Bell, a managing director in global equities at Bank of America Merrill Lynch in New York, have established two new scholarships for Harford County residents who have been admitted to St. [read post]
21 Apr 2005, 2:44 pm
[JURIST] Former Merrill Lynch [corporate website] executive Daniel Bayly has been sentenced to 30 months by in prison US District Judge Ewing Werlein for his role in an Enron Nigerian barge scam. [read post]
24 Sep 2012, 3:13 pm
FINRA Fines Merrill Lynch $500,000 for Reporting Failures [read post]
3 Feb 2021, 10:18 am
The post FINRA Arbitrator favors Broker in claim against Merrill Lynch appeared first on The White Law Group. [read post]
28 Aug 2012, 7:09 am
Others who accepted bonuses from Merrill Lynch, following its acquisition by Bank of America Corp, would also be excluded. [read post]
13 Oct 2021, 10:08 am
Former Merrill Lynch Financial Advisor Has Been Named in Nine Customer Disputes Peter Edward Eckerline, a longtime Merrill Lynch broker who spent his entire 37 years industry with the firm until August 2021, has been named in nine customer disputes by claimants. [read post]
12 Jun 2024, 1:41 pm
Merrill Lynch reportedly terminated Rahman for various policy breaches, including undisclosed outside business activities and improper management of a client’s account. [read post]
24 Aug 2012, 2:56 pm
With liability estimated to be $100 million or more, former Merrill Lynch reps with deferred compensation left behind in plans such as FACAAP, WealthBuilder and Growth Award, might have had something to cheer about. [read post]
8 Sep 2011, 6:01 am
Related articles, courtesy of Zemanta: Two Interesting Rumors Circulating After The Firing Of Sallie Krawcheck (BAC)What Sallie Krawcheck's Ouster Means For Merrill Lynch (BAC)Analysis: Krawcheck ouster fuels Merrill brokers' bank angst [read post]
20 Aug 2012, 11:27 am
Have you been defrauded by Merrill Lynch financial advisor James Ryan Lanier? [read post]
20 Aug 2012, 11:27 am
Have you been defrauded by Merrill Lynch financial advisor James Ryan Lanier? [read post]
