Search for: "Merrill Lynch "
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26 Jan 2021, 11:48 am
In July 2019 we reported Merrill Lynch paid a whopping $40 million settlement to a customer who alleged Kenahan churned his account. [read post]
22 Oct 2009, 11:13 am
Last week the Delaware Court of Chancery heard arguments in the litigation involving the Bank of America and Merrill Lynch merger. [read post]
10 Jan 2012, 7:42 am
It is being reported that the latest compensation changes being made by Merrill Lynch Wealth Management to encourage brokers to go after wealthier clients will include the raising of the minimum account size to $250,000 per household, from $100,000. [read post]
18 Sep 2016, 6:19 am
” The MLC Index was run at Merrill Lynch by Guido Graff (Graff), Director of Ultra Structured Solutions at Merrill Lynch. [read post]
5 Apr 2012, 6:53 am
A Boca Raton, Florida Financial Industry Regulatory Authority ("FINRA") Arbitration Panel has rendered a large award in favor of two former Merrill Lynch, Pierce, Fenner & Smith ("Merrill") brokers. [read post]
27 Apr 2015, 11:16 am
On April 22, 2015, Bank of America and Merrill Lynch reached an agreement with several Prudential Insurance Co. affiliates to settle two lawsuits brought by Prudential. [read post]
3 Apr 2009, 5:15 am
Bank of America has reportedly lost yet another senior Merrill Lynch banker. [read post]
4 Mar 2009, 3:57 pm
Merrill Lynch is suing Deutsche Bank after the big German bank hired its former treasurer, Eric Heaton, last month in what Merrill called a raid of bankers from its financial institutions group. [read post]
12 May 2009, 7:49 am
Could Merrill Lynch's thundering herd regain their independence one day? [read post]
10 Dec 2020, 10:38 am
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Merrill Lynch and Charles Kenahan and Dermond Cavanaugh who are may be victims of, and suffered damages and losses, due to abuses such as churning, beach of fiduciary duty, overcharging , and unauthorized trading. [read post]
30 Oct 2007, 8:50 am
If the story of Merrill Lynch is getting a bit operatic these days, Alberto Cribiore should feel right at home. [read post]
8 Dec 2008, 5:46 pm
Cuomo is watching Merrill Lynch very closely. [read post]
7 Apr 2010, 5:44 pm
Last week, three female financial advisors at Merrill Lynch filed a Bank of America took over Merrill Lynch in 2008. [read post]
20 Nov 2006, 8:29 am
In the largest leveraged buyout ever, Merrill Lynch is playing a starring role. [read post]
15 Aug 2014, 2:00 pm
., last month, the firm said Monday it had picked up three former Merrill Lynch advisers who previously managed some $800 million in assets. [read post]
19 Jun 2009, 7:11 am
., a former Merrill Lynch executive and the son of one of its founders, denied Friday that he approached Bank of America's chief executive with two other Merrill alums to talk about buying back some or all of the firm. [read post]
7 Jul 2011, 1:54 pm
A FINRA arbitration panel in California awarded a hedge fund, Rosen Capital Management, $63.7 million in its dispute with Merrill Lynch. [read post]
25 Jan 2011, 12:31 pm
The SEC today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated with misusing customer order information to place proprietary trades for the firm and for charging customers undisclosed trading fees. [read post]
15 Jun 2012, 6:34 am
According to reports, Merrill Lynch has agreed to pay a $450,000 fine and accept a censure in a case involving supervision of structured-product sales. [read post]
22 Apr 2015, 7:12 am
According to news sources, Thomas Buck (Buck) and his daughter Ann Buck, were recently terminated by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under unusual circumstances. [read post]
