Search for: "Merril"
Results 401 - 420
of 5,275
Sorted by Relevance
|
Sort by Date
5 Dec 2011, 4:00 am
Tom Merrill previews Wednesday's oral argument in PPL Montana, LLC v. [read post]
11 Mar 2009, 8:34 am
Merrill Lynch will pay $7 million as part of a settlement with the Securities and Exchange Commission over the use of squawk boxes, the intercom systems that sit on the desks of traders, brokers and salespeople and are commonly used to bark out orders and other internal communications. [read post]
14 Nov 2007, 9:30 am
Thain, the chairman and chief executive of NYSE Euronext and a former co-president of Goldman Sachs, has been selected to be the next chief executive of Merrill Lynch, a person briefed on the situation told The New York Times. [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
5 Dec 2008, 10:32 pm
A spokesperson for Merrill Lynch refused to provide details. [read post]
23 Jun 2016, 7:15 am
Without admitting or denying the findings, Merrill Lynch agreed to cease and desist from committing or causing any similar future violations and pay a penalty of $10 million. [read post]
22 Mar 2019, 8:55 am
The SEC’s order found that Merrill Lynch improperly borrowed pre-released ADRs from other brokers when Merrill Lynch should have known that those brokers – middlemen who obtained pre-released ADRs from depositaries – did not own the foreign shares needed to support those ADRs. [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]
21 Aug 2018, 6:43 am
The SEC alleges that Merrill failed to disclose to its clients the conflicts of interest in Merrill’s decision-making process. [read post]
11 Jun 2021, 9:30 am
That is the core insight that shapes Kearney and Merrill's Lakefront. [read post]
14 Apr 2010, 10:00 am
Thomas Merrill (Columbia) & David Schizer (Dean, Columbia) have published Energy Policy for an Economic Downturn: A Proposed Petroleum Fuel Price Stabilization Plan, 27 Yale J. on Reg. 1 (2010). [read post]
3 Apr 2023, 1:10 pm
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
17 Aug 2007, 1:46 am
Merrill Lynch recruited a team of three producers, and their support staff, with $2.5 billion in assets under management and $5.5 million in trailing 12-month production away from UBS last week.Estimates on the EFL are up to 11 million dollars. [read post]
31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
14 Nov 2007, 3:33 pm
Reuters is gushing - "Merrill Lynch & Co Inc on Wednesday named NYSE Euronext Chief Executive John Thain as its new CEO, bringing in an outsider with a Goldman Sachs pedigree to repair an image battered by wrong-way bets on subprime mortgages. [read post]
27 Jul 2022, 2:38 pm
Once Merrill Lynch found out otherwise, in July 2020, Merrill Lynch fired him. [read post]
16 May 2007, 10:29 am
The court decision simply puts us back to where we were before the Merrill Lynch Rule, and to where we have been for some 50 plus years. [read post]
19 Mar 2012, 11:07 am
The protesters, Samuel Dukore and Kelly Canavan, set up tents outside Merrill Lynch's office as part of a demonstration about wealth disparity in the United States. [read post]
21 Jun 2018, 8:26 am
Merrill Lynch called this practice “masking. [read post]
30 Oct 2007, 10:00 am
O'Neal first cleaned out the Merrill executives who made the mistakes, and now he is taking the fall himself. [read post]
