Search for: "Merrill Lynch Corporation"
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4 Apr 2008, 5:15 am
When taking into account the recent, much needed injections of capital SWFs provided to both Citigroup and Merrill Lynch, the global impact of investment by SWFs is considerable. [read post]
26 Feb 2010, 5:00 am
Rakoff Backs BofA Accord, Unhappily By DAN FITZPATRICK, KARA SCANNELL And CHAD BRAY in the Wall Street Journal A federal judge harshly criticized but approved a $150 million settlement Monday between Bank of America Corp. and the Securities & Exchange Commission, resolving claims the bank should have disclosed billions in losses at Merrill Lynch & Co. before it was acquired by the bank. [read post]
6 Jan 2011, 1:38 pm
From there he went on to CNBC, Merrill Lynch, and finally Blackstone, where he’s held the CFO job since 2008. [read post]
19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader Over… [read post]
30 Apr 2008, 6:53 am
Similar to past years, these proposals have failed at this year's annual meetings at some of the major financial corporations that have posted the largest asset write-downs and credit losses since the beginning of 2007 such as Citigroup, Merrill Lynch, Bank of America and Morgan Stanley. [read post]
7 Oct 2009, 3:53 am
Such as: in the tumultuous weeks leading up to the bank's acquisition of Merrill Lynch a year ago, what did Mayopoulos and the bank's outside lawyers advise? [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities Concorde Investment… [read post]
1 Apr 2008, 4:24 am
This came after Merrill Lynch announced last month that it would begin reporting auction rate securities at an “estimated market price,” although to date Merrill Lynch has reportedly not marked down any such securities.These changes in valuation methodology resulted in the filing last week of lawsuits against both Merrill Lynch and Morgan Stanley by certain of their respective clients who allege that they were sold… [read post]
21 Sep 2011, 8:40 am
Merrill Lynch, Pierce, Fenner & Smith Inc., No. 05-CV-6583 (N.D. [read post]
4 Mar 2014, 2:02 pm
The judge overseeing the case rejected the prior proposals and may do the same again since the new deal grants UBS and Merrill Lynch a release from liability for the events surrounding a billion dollar deal. [read post]
10 Dec 2015, 6:32 am
Not more than two years ago he compared RCAP to Wall Street greats Merrill Lynch and Raymond James Financial, Inc. and planned on establishing the next brokerage powerhouse. [read post]
12 Nov 2008, 7:52 pm
Merrill Lynch & Co., Del. [read post]
27 Feb 2012, 7:29 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 2011 U.S. [read post]
23 Apr 2009, 1:47 pm
According to a letter from New York attorney general Andrew Cuomo released this afternoon, a more subtle variation occurred last December when then Treasury Secretary Henry Paulson pressured Bank of America CEO Ken Lewis into closing the latter's disastrous acquisition of Merrill Lynch, despite massive deterioration in Merrill's value, of which Lewis was keenly aware but did not disclose to B of A shareholders. [read post]
19 Jan 2009, 7:39 am
Look at the likes of Angelo Mozilo of Countrywide Financial, whose unbridled lending excesses helped trigger the mortgage meltdown; former Merrill Lynch CEO Stanley O'Neal, and Charles Prince, the former CEO who paved the way for Citigroup's precipitous tumble. [read post]
19 Jan 2009, 5:19 am
We've blogged before about how years of corporate immunity in the financial world has led to disastrous results. [read post]
6 Nov 2012, 1:27 am
Merrill Lynch Asset Management, 694 F.2d 923 (2d Cir. 1982). [read post]
6 Dec 2011, 3:27 am
In the Merrill Lynch MBS lawsuit, the plaintiffs alleged that the defendants (Merrill Lynch and related Merrill entities; certain other underwriter defendants and certain Merrill officers) had mislead investors who purchased the MBS securities, through statements in the securities’ offering documents that misrepresented the quality of the loans and the adequacy of the collateral within the loan pools. [read post]
25 Oct 2009, 9:39 pm
The executives at Merrill Lynch have suggested that BoA knew of the losses before it consummated the merger. [read post]
31 Jan 2017, 12:06 pm
.; RBC Capital Markets Corporation; Salomon Smith Barney Inc.; Lehman Brothers Corp.; Merrill Lynch, Pierce, Fenner & Smith Inc., Sussex Securities Incorporated; Lehman Brothers Incorporated. [read post]
