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8 Oct 2009, 12:01 am
Merrill Lynch's attempt to align its top employees' pay with the company's long-term performance did not keep executives from risking the firm's stability. [read post]
1 Apr 2010, 1:12 pm
Investment News reports that Merrill Lynch has succeeded, for the seventh time, in getting an investors class action relating to its sales of auction rate securities dismissed. [read post]
17 Mar 2010, 3:42 am
ABP, a Dutch pension fund, is suing Bank of America over its controversial 2008 takeover of Merrill Lynch, accusing the bank of withholding material information about the deal, Reuters reported. [read post]
10 Aug 2009, 4:39 pm
A federal district court judge refused today to approve the settlement that the SEC and Bank of America had negotiated over the failure to disclose bonuses to Merrill Lynch executives in the proxy materials submitted to the bank's shareholders to... [read post]
24 Jul 2016, 9:09 am
Recently, the $10 notes matured in November and had a redemption value from Merrill Lynch of only 50 cents. [read post]
18 Feb 2009, 3:14 pm
By agreeing to settle, Merrill Lynch is not denying or admitting wrongdoing. [read post]
31 May 2009, 12:10 pm
Waterhouse, a Merrill Lynch employee told him as follows: "We wanted you done and dusted before our head office reported their results this week. [read post]
25 Jan 2023, 1:03 pm
Merrill Lynch financial advisors, Michael Turner and Jeremy Newton, at the Houston, Texas branch office of Merrill Lynch as the TSPN Wealth Management Group, were the subject of a customer complaint due to a call options trading strategy, according to FINRA Broker-Check. [read post]
29 Nov 2016, 9:25 am
According to reports, Merrill Lynch has fired a star broker, Sandy Galuppo, regarding the alleged improper use of his expense account. [read post]
29 Jan 2009, 2:28 am
Senior legal roles at Merrill Lynch have been axed as part of the investment bank's global restructuring, including the investment bank's vice chairman and general counsel Rosemary Berkery, and general counsel of litigation and employment Barry Mandel.New York associate general counsel Carlos Morales, co-head of global litigation John Eisenberg, and director and senior counsel Chris Haas remain with the bank's the legal department.The move comes after Bank of… [read post]
31 Jul 2008, 5:58 pm
Massachusetts regulators filed civil fraud charges against New York-based Merrill Lynch & Co. on July 31 for allegedly claiming that risky auction-rate securities were stable. [read post]
10 Mar 2015, 6:48 am
In 2005 he was became registered through Merrill Lynch until October 14, 2013, at which time Merrill Lynch filed a Uniform Termination Notice stating that Chiu was discharged for conduct involving the exercise of discretion in non- discretionary customer accounts. [read post]
5 Oct 2009, 6:58 pm
A judge has ordered a former Merrill Lynch employee, San Antonio stockbroker Bruce E. [read post]
14 May 2017, 6:04 am
Lionel Brooks, a registered representative from Cumberland, Rhode Island formerly with Merrill Lynch was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
15 Nov 2007, 9:01 am
Thain at Merrill Lynch signals a change not only in the firm’s focus, as it struggles to recover from the trading losses incurred under E. [read post]
28 Jul 2015, 11:21 am
FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck [read post]
26 Sep 2013, 8:27 am
The SEC has charged a former Qualcomm executive and his Merrill Lynch broker with insider trading in an elaborate scheme involving family members and off shore brokerage accounts.The Securities and Exchange Commission said that former Qualcomm executive Jing Wang and his advisor, Gary Yin, made illegal trades in his company’s stock and that of a company purchased by Qualcomm. [read post]
8 May 2012, 9:01 am
If you are a former Merrill Lynch broker, please contact Jim Eccleston at the Eccleston Law Offices at 312-332-0000 to discuss your recovery options. [read post]
8 May 2012, 9:06 am
If you are a former Merrill Lynch broker, please contact Jim Eccleston at the Eccleston Law Offices at 312-332-0000 to discuss your recovery options. [read post]
15 Jul 2020, 9:11 am
Merrill Lynch is a Bank of America (BAC) subsidiary. [read post]
