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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]
1 Apr 2019, 7:54 am
Still, UBS and other investment firms – including Bank of America’s Merrill Lynch (BAC), Credit Suisse (CS), and Morgan Stanley (MS) – have reportedly continued to market Yield Enhancement Strategies to investors despite the ongoing losses. [read post]
27 Mar 2019, 11:21 am
Merrill Lynch allegedly improperly handled the “pre-release” of ADRs. [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]
22 Mar 2019, 6:09 am
As set forth in part in the SEC Press Release: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 – middle... [read post]
15 Mar 2019, 6:26 am
In January 2008, during the onslaught of the Great Recession, Bank of America acquired Merrill Lynch. [read post]
15 Mar 2019, 6:26 am
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4493/merrill-lynch-finra/For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
8 Mar 2019, 8:54 am
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4482/finra-merrill-lynch-team/Two veteran, female Wall Street stockbrokers worked at UBS before joining Merrill Lynch. [read post]
8 Mar 2019, 8:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4480/securities-industry-commentator/SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)Good Intentions Pave Merrill Lynch Stockbroker's… [read post]
5 Mar 2019, 9:32 am
Throughout this time, Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) has been hard at work for many investors in helping them fight to recover the losses they sustained because a number of brokerage firms, including UBS-Puerto Rico (UBS-PR), Merrill Lynch, Santander Securities (SAN), Popular Securities, Oriental Securities, the GMS Group, and others, encouraged their brokers to sell these municipal bonds to investors, including small businesses, retirees, and retail… [read post]
1 Mar 2019, 2:29 pm
Garcia filed fake childcare reimbursement expenses to Merrill Lynch, through the Merrill Lynch Business Development Account (“BDA”). [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
26 Feb 2019, 7:42 am
” (https://www.investmentnews.com/article/20170926/FREE/170929952/finra-bars-former-morgan-stanley-manager-over-expense-reports)In late 2017, “a 21-year veteran Merrill Lynch broker managing director…accepted a one-year suspension from the securities industry and a $10,000 fine for ‘violating high standards of commercial honor by improperly using Merrill funds in connection with expense reports’” … [read post]
22 Feb 2019, 11:52 am
The post Collateral Yield Enhancement Strategy (CYES) Offered by Merrill Lynch, Morgan Stanley and Other Firms appeared first on Zamansky LLC. [read post]
19 Feb 2019, 3:47 pm
On February 11, Bank of America, Merrill Lynch, and Countrywide (together, “the Banks“) filed suit against the National Credit Union Administration Board (“NCUA“) in its capacity as liquidating agent or conservator to six credit unions who purchased MBS issued by the Plaintiffs. [read post]
19 Feb 2019, 3:47 pm
On February 11, Bank of America, Merrill Lynch, and Countrywide (together, “the Banks“) filed suit against the National Credit Union Administration Board (“NCUA“) in its capacity as liquidating agent or conservator to six credit unions who purchased MBS issued by the Plaintiffs. [read post]
19 Feb 2019, 2:04 pm
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Indianapolis, and UBS Painewebber Inc. [read post]
16 Feb 2019, 1:34 pm
., Littleton, Colorado— February 15, 2008 to June 17, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated, Englewood, Colorado— December 6, 2002 to February 22, 2008 Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated. [read post]
15 Feb 2019, 11:32 am
Ex-Merrill Lynch Broker Will Pay $5M Penalty and Serve Time In Prison A federal judge has sentenced Thomas Buck, an ex-Merrill Lynch broker, to 40 months in prison. [read post]
14 Feb 2019, 11:17 am
The post Former Merrill Lynch advisor Tom Buck sentenced appeared first on The White Law Group. [read post]
