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21 May 2020, 7:12 am
MML Investors Services, LLC Suntrust Investment Services, Inc Mannera, Samuel Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
2 Oct 2018, 5:48 am
According to FINRA Disciplinary actions for September 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Mona Ali JP Morgan Securities LLC JP Morgan Chase Bank Bobbie Jo Besler Farmers Financial Solutions State Farm VP Mgmt Corp Jeffrey Cederberg… [read post]
28 May 2007, 6:23 am
Merrill Lynch & Co. [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency … [read post]
4 Feb 2011, 6:02 am
From BusinessWeek on an incident at the B-school at Penn State revealed by the admissions staff examining 360 pending applications submitted for Smeal's 2010 admissions cycle: They uncovered 29 cases of students who had lifted entire sentences or paragraphs from online sources, including a 2009 essay titled "Principled Leaders: A Model for the 'Reset' Economy," by Deborah Merrill-Sands, then dean of Simmons School of Management (Simmons Full-Time MBA Profile) in… [read post]
18 Dec 2009, 6:54 am
I worked for them at their offsite Merrill Corp hellhole earlier this year and I blogged about the infamous Blondie who was the team leader at the site. [read post]
3 Aug 2008, 10:20 am
Given the mounting losses lenders are experiencing, as well as the emerging industry of speculators buying non-performing loans at as little as 20 cents on the dollar (Merrill Lynch just announced last week that they will sell off over $30 billion of bad loan securities for $6.7 billion - with 75% seller financing), the new safe harbor should allow real modifications - principal writedowns and rate reductions - that will keep struggling homeowners in their homes. [read post]
10 Oct 2015, 1:24 pm
Worthy Burger co-owner and executive chef Jason Merrill confirmed that the restaurant, which used to advertise its signature burger as “pink in the middle,” is now thoroughly cooking all of its burgers. [read post]
21 Oct 2008, 8:19 am
For example, you may remember how Merrill, after announcing stunning losses, said Stan O’Neal had suddenly decided to take his $161 million and “retire. [read post]
25 Jul 2008, 3:17 am
., and Merrill Lynch and Co. [read post]
3 Aug 2009, 1:15 pm
FINRA enforcement chief Susan Merrill says that it is disturbing that in addition to taking advantage of clients at the brokerage firms where he'd worked, Neely also exploited relatives, friends, and acquaintances and took their "hard-earned savings. [read post]
31 May 2015, 7:24 am
McGrath entered the securities industry in 1984 with brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
27 Nov 2007, 2:50 am
One is the familiar shareholder class action, which is also targeting Merrill Lynch and Deloitte & Touche. [read post]
13 May 2010, 8:16 am
Here's is the lead, front page article in the New York Times today, about a new investigation started by New York attorney general Andrew Cuomo againt Goldman Sachs, Morgan Stanley, UBS, Citigroup, Credit Suisse, Deutsche Bank, Crédit Agricole and Merrill Lynch, which is owned by Bank of America, "to determine whether they provided misleading information to rating agencies in order to inflate the grades of certain mortgage securities. [read post]
3 Apr 2011, 10:48 am
As we will report in an upcoming post, the NPS collapse (and perhaps the IFDA/Merrill Lynch debacle) has caught the IRS’ attention. [read post]
15 Jul 2009, 5:32 am
" Iati said that the "incredible capabilities" offered by technology have given meteoric rise to a relatively few high frequency proprietary trading firms, and that familiar names like "Merrill [Lynch] are being replaced by less familiar ones like Wolverine, IMC and Getco. [read post]
29 Nov 2016, 6:28 am
” According to Fortune, firms such as UBS, Bank of America, Merrill Lynch, Morgan Stanley, Wells Fargo, and JP Morgan are recommending that their high net worth investors take out loans against their brokerage accounts at an alarming rate. [read post]
20 Jul 2007, 5:55 am
Meanwhile, no mention was made in the group's report of the chilling effect of the wholesale dismissal of large numbers of class action cases by Wall Street friendly judges, for example, the case filed by Enron shareholders against Merrill Lynch and other firms. [read post]
5 Feb 2023, 4:06 pm
Hickman (136 Harvard Law Review Forum 75 (2022)) Illiberalism and Administrative Government by Jeremy Kessler, in Law and Illiberalism (Austin Sarat, Lawrence Douglas & Martha Merrill Umphrey eds., U. [read post]
20 Mar 2012, 8:54 am
Merrill Dow Pharmaceuticals, Inc., in which federal judges were directed to serve as “gatekeepers,” the Federal Judicial Center published the First Edition of the Reference Manual on Scientific Evidence, which became the leading reference source for federal judges seeking an understanding of difficult issues involving scientific testimony. [read post]
