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11 Jul 2023, 11:12 am
“Merrill Lynch and BACNAH did not file hundreds of Merrill Lynch SARs because they failed to comply with one of the most basic requirements for a SAR program. [read post]
1 Mar 2011, 2:53 am
Lynch v Ceva Logistic Ltd and another [2011] EWCA Civ 188; [ 2011] WLR (D) 66 “The owner of a warehouse who had the control of it (1) owed a duty under regulations 4 and 17 of the Workplace (Health, Safety and Welfare) Regulations 1992 and at common law to ensure that the place of work was safe for an employee of an independent contractor who was carrying out his work in the warehouse and (2) was entitled to assume that the independent contractor had given proper instructions to its… [read post]
9 Nov 2011, 1:04 pm
When Bank of America acquired Merrill Lynch in September 2008, it negotiated certain deal terms affecting deferred compensation for the financial advisors. [read post]
15 Oct 2009, 11:41 am
Law firm Wachtell, Lipton, Rosen & Katz was the main advisor for the Merrill Lynch deal. [read post]
11 May 2020, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Juan Barreras (Barreras), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least five customer complaints during the course of his career. [read post]
14 Dec 2018, 1:13 pm
The former NFL player sued both Bank of America and Merrill Lynch over the broker fraud. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
17 Jul 2008, 10:32 am
Merrill Lynch, the financially ailing investment brokerage, has terminated talks with the Port Authority and the developer Larry A. [read post]
19 Jul 2010, 10:48 am
Lynch, 57, said he... [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
3 Apr 2023, 1:10 pm
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
8 Sep 2009, 2:16 pm
Ohio Attorney General Richard Cordray has announced that the $475 million settlement between the State Teachers Retirement System (STRS Ohio) and Merrill Lynch, first reported in January 2009, has been finalized. [read post]
6 Nov 2006, 7:44 am
Merrill Lynch’s private-equity arm received a request for information from the Justice Department as part of its informal inquiry into potential anticompetitive behavior in the private-equity world, The Wall Street Journal reported, citing undisclosed sources. [read post]
29 Jun 2021, 3:49 am
Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers: The transactions forced clients to pay millions of dollars in needless fees, according to Finra.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
25 Jan 2012, 1:47 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
18 Mar 2009, 2:34 pm
STATEMENT FROM ATTORNEY GENERAL CUOMO ON COURT DECISION TO FORCE BANK OF AMERICA AND MERRILL LYNCH TO TURN OVER LIST OF BONUS RECIPIENTS "Today's decision in the Bank of America case is a victory for taxpayers. [read post]
13 Sep 2016, 8:42 am
Lynch and Michael L. [read post]
