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1 Mar 2022, 9:45 am
According to his broker report, Elsoffer, was reportedly affiliated with the following firms during his career in the securities industry:11/21/2011 – 11/01/2018, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), PEPPER PIKE, OH, 03/16/1995 – 11/15/2011, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), PEPPER PIKE, OH Both registrations reportedly ended with termination after allegations, according to FINRA. [read post]
11 Sep 2012, 5:27 pm
(WFC), JPMorgan (JPM), Royal Bank of Canada's (RY) RBC Capital Markets division, Bank of America Corp's (BAC) Merrill Lynch division (MER), Morgan Stanley (MS), and Barclays PLC (BCS). [read post]
24 Mar 2011, 8:00 am
" The winning bids were as follows: Series 2011A Tax-Exempt Bonds to Wells Fargo Bank, National Association with a true interest cost bid of 4.250042 percent; Series 2011B Taxable Bonds to Wells Fargo Bank, National Association, with a true interest cost bid of 3.370060 percent; Series 2011C Tax-Exempt Refunding Bonds to Banc of America Merrill Lynch, with a true interest cost bid of 1.289124; and 2011D Taxable Refunding Bonds to Wells Fargo Bank, National Association, with a true… [read post]
25 May 2021, 12:25 pm
Contact us Potential Options for Mitchell Investors The Goldman Scarlato & Penny PC law firm often represents investors who lose money as a result of investment-related fraud or broker misconduct and is currently investigating conduct related to broker Robert Mitchell’s alleged outside business activities and separation from Merrill Lynch. [read post]
10 Jan 2018, 4:40 pm
Worden Capital Management LLC Dawei Wang Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
15 Jun 2009, 3:32 am
Subscription needed for online access:
06/12/2009
Text of the Conference Report to Accompany the Supplemental Appropriations Act for Fiscal 2009, H.R. 2346 (PDF 4.8 MB)Conference Report (H.Rept. 111-151) as Agreed to by House and Senate Conferees on June 11, 200906/12/2009
Text of the Joint Explanatory Statement to Accompany the Supplemental Appropriations Act for Fiscal 2009, H.R. 2346 (PDF 3.7 MB)Statement as Agreed to by House and Senate Conferees… [read post]
1 Jun 2009, 9:10 pm
., Merrill Lynch & Co. [read post]
1 Apr 2009, 7:38 am
Bear Stearns, Lehman and Merrill Lynch not only still existed, they were venerable names on Wall Street. [read post]
20 Feb 2014, 4:12 am
For those curious about the two larger MBS settlements, as discussed here, the Countrywide MBS securities lawsuit settled in April 2013 for $500 million, and the Merrill Lynch MBS securities lawsuit settled in 2011 for $315 million (refer here). [read post]
24 May 2010, 7:30 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
17 May 2021, 5:49 am
For example, Bank of America Merrill Lynch examined 24 major ESG controversies of S&P 500 companies during 2014-2019 and found that the total market cap loss amounted to $534 billion. [read post]
9 Feb 2010, 9:51 am
The fine represents BOA’s penalty for failing to disclose the extent of Merrill Lynch’s losses to BOA’s shareholders prior to voting on BOA’s merger with ML. [read post]
14 Jan 2012, 8:52 am
.'s (BAC) Merrill Lynch. [read post]
9 Oct 2018, 10:00 am
” If it’s any comfort, there are now some 20 million widows and widowers in America, according to a study from Merrill Lynch and Age Wave that focuses on widowhood, as reported by CBS News’ Moneywatch in “A retirement planning must-do for married couples. [read post]
11 Apr 2019, 9:02 am
” He has one other employment separation listed on his broker report in 2011 from former employer, Merrill Lynch. [read post]
19 Mar 2009, 4:00 am
With all of the focus in the United States on the collapse of Bear Stearns, AIG, Lehman Brothers, and Merril Lynch, we may be a bit myopic in not noticing other issues around the world. [read post]
2 Aug 2013, 11:07 am
Merrill Lynch & Co., 672 F.3d 482 (7th Cir. 2012), perhaps the leading post-Wal-Mart ruling certifying an employment discrimination disparate impact class claim for injunctive relief under Rule 23 (c)(4). [read post]
9 Jun 2011, 12:30 pm
Merrill-Dow Pharmaceuticals may have sent the legal system down a false path. [read post]
31 Aug 2011, 6:49 am
It appears a number of banks, including Citibank, Bank of America, Merrill Lynch, Credit Suisse, Deutsche Bank, GETCO, J.P. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors (60). [read post]
