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4 Aug 2009, 9:35 am
” Separately, on August 3, Bank of America settled a Securities and Exchange Commission complaint alleging that the company misled investors about having agreed to up to $5.8 billion in bonuses for Merrill Lynch employees while negotiating its year-end acquisition of Merrill. [read post]
4 Aug 2009, 4:06 am
"In fact, Bank of America had already contractually authorized Merrill to pay up to $5.8 billion in discretionary bonuses to Merrill executives for 2008," the SEC said in a statement. [read post]
4 Aug 2009, 2:06 am
Bank of America agreed to pay $33 million on Monday to settle federal charges that it hid from investors plans to pay billions of dollars in bonuses to employees of Merrill Lynch.The SEC accused the firm of misleading shareholders when the bank asked them to approve the deal, which was ultimately concluded under intense federal pressure as Merrill Lynch teetered on the verge of collapse. [read post]
3 Aug 2009, 8:54 pm
Bank of America settled with the SEC over charges that it had made inadequate disclosures to its shareholders in connection with its acquisition of Merrill Lynch. [read post]
3 Aug 2009, 3:38 pm
Specifically, the SEC accused Bank of America of misleading of investors about performance bonuses that were to be paid to executives at Merrill Lynch following the acquisition of Merrill. [read post]
3 Aug 2009, 1:23 pm
("Merrill") [...] [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]
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]
3 Aug 2009, 10:39 am
The SEC said that Bank of America claimed that Merrill Lynch had agreed not to pay the performance bonuses to executives without Bank of America's permission. [read post]
3 Aug 2009, 9:38 am
Citigroup did it, followed by Morgan Stanley, UBS, Merrill Lynch, Wachovia, Bank of America (BofA) and, most recently, Morgan Keegan and Ameritrade. [read post]
3 Aug 2009, 7:51 am
The complaint alleges that, during the merger of the companies, the agreement for BOA to allow Merrill [read post]
31 Jul 2009, 5:24 pm
Now comes the reason: “As Merrill Lynch's performance plummeted, Merrill severed the tie between paying based on performance and set its bonus pool based on what it expected its competitors would do. [read post]
31 Jul 2009, 10:35 am
Merrill Lynch & Co., which lost $27.6 billion for the year, paid bonuses of $3.6 billion, according to Cuomo's tally. [read post]
31 Jul 2009, 4:42 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 05 Civ. 10264, 2006 U.S. [read post]
30 Jul 2009, 3:49 pm
"While Citigroup Inc (C.N) and Merrill Lynch, bought by Bank of America Corp (BAC.N), lost more than $27 billion each, Citigroup paid $5.33 billion in bonuses and Merrill paid $3.6 billion, the report said. [read post]
30 Jul 2009, 3:22 pm
The five Merrill Lynch brokers sanctioned by FINRA include: Kenneth C. [read post]
30 Jul 2009, 2:19 am
The cuts stemmed from a combination of duplication of services after BoA bought Merrill Lynch last fall for $50 billion and the recession, which caused huge reductions in assets under management for wealth management firms throughout the country.My Take: I hope the law in Missouri allows the judge who will decide this case to focus on the employees' right to earn a living and support their families....especially when BoA most likely would have terminated these employees anyway. [read post]
29 Jul 2009, 8:00 am
Without admitting any fault, Merrill Lynch and UBS agreed to pay fines of $150,000 and $100,000, respectively. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
24 Jul 2009, 5:37 am
§ 1407, and Transfers Actions to Southern District of New York Thirty (30) individual and class action lawsuits were filed against Bank of America and other defendants arising out of “alleged misrepresentations and omissions made in the context of Bank of America’s acquisition of Merrill Lynch & Co., Inc. [read post]
