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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]
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]
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]
19 Aug 2008, 3:02 pm
A group of Merrill Lynch entities (Merrill Lynch) recently filed a motion to dismiss a securities class action pending in United States District Court for the Southern District of New York. [read post]
28 Oct 2008, 10:29 pm
If the broker owes money to Merrill on a promissory note, Merrill will most likely demand repayment. [read post]
14 May 2015, 2:56 pm
According to AdvisorHUB.com, Bank of America Merrill Lynch fired two experienced financial advisers in Colorado.Joseph Yanofsky, 57, and Brooke Clements, 42, who worked as the Yanofsky Group, an advisory team at Merrill Lynch’s office in Colorado, were terminated by the firm. [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]
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]
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]
25 Jan 2011, 1:52 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. [read post]
9 Apr 2010, 7:50 am
The Massachusetts securities regulators charged Merrill Lynch with improperly selling unregistered auction rate securities to two cooperative banks that did not qualify as "Qualified Institutional Buyers" under SEC Rule 144A. [read post]
17 May 2016, 7:47 am
Yesterday, the Supreme Court issued a unanimous decision in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
19 Jan 2010, 11:29 am
Here is the complaint the SEC filed against the Bank of America, charging that the company failed to disclose Merrill Lynch's fourth quarter losses in its proxy solicitation seeking approval for the merger. [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]
15 Sep 2008, 3:36 pm
Merrill, like Bear before it, was snapped up by a competitor. [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]
17 Mar 2010, 2:46 am
“A former proprietary trader at Merrill Lynch, who mispriced trades in a desperate bid to cover up some of the $456m (£300m) of losses he had racked up, was banned from working in the industry for at least five years. [read post]
2 Jul 2014, 1:49 pm
Merrill, Taylor Nadauld, Rene M. [read post]
