Search for: "Merrill Lynch Corporation"
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9 Sep 2009, 2:52 am
It is not just their size that may set these Merrill Lynch settlements apart. [read post]
13 Oct 2011, 3:47 pm
Schlumberger Technology Corporation v. [read post]
13 Oct 2010, 4:20 pm
There were a few corporate CEOs thrown in there as well. [read post]
7 Dec 2009, 3:00 pm
Regina served as a member of the legal team that successfully litigated such high profile corporate fraud cases against WorldCom and Merrill Lynch and brought billions of dollars back to the pensions of union workers and government employees. [read post]
2 Dec 2009, 5:51 am
Bank of America/ Merrill Lynch settlement negotiation. [read post]
14 Jul 2018, 6:53 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 756 F.2d 230 (2d Cir. 1985) that says that “an instrument can be part of an investment contract that is a security,” regardless of the nature of the instrument itself. [read post]
20 Mar 2009, 1:00 pm
Here are a few stories and items that caught my eye, but I have not had time to build-out to a full post: Reminder to Review Insider Trading Compliance by Melissa Klein Aguilar for Compliance Week The SEC settled an administrative proceeding this month involving Merrill Lynch based on the firm's failure to have adequate procedures regarding its "squawk box" to prevent day traders from overhearing and using material non-public information regarding unexecuted… [read post]
1 Dec 2011, 1:58 pm
Merrill Lynch Professional Clearing Corp. 63.7M Source: Securities Arbitration Commentator Inc. [read post]
20 Oct 2009, 3:27 pm
District Judge Jed Rakoff pilloried the agency for being too lenient on Bank of America Corp over what it had not disclosed about its purchase of Merrill Lynch & Co. [read post]
24 Feb 2009, 12:10 am
Former Merrill Lynch CEO Ordered to Testify About Billions in Bonuses
The Associated Press
A New York judge has ordered former Merrill Lynch CEO John Thain to testify about $3.6 billion in bonuses paid to Merrill employees before the company was sold to Bank of America. [read post]
2 Jun 2010, 4:12 am
Merrill Lynch, now part of Bank of America, doesn’t have A single location to call. [read post]
23 Oct 2020, 8:55 am
Merrill Lynch, Pierce, Fenner & Smith Inc Junior Tonkam PFS Investments Inc. [read post]
1 Jun 2012, 5:06 am
Shaw, Merrill Lynch and JPMorgan Chase — and at least one is a former Securities and Exchange Commission regulator. [read post]
2 Jul 2019, 2:18 pm
The wife apparently suspected her husband had offshore accounts at Merrill Lynch/Bank of America in New York City at Avenue of the Americas & 42nd Street: The post Divorce & Hidden Money: Your Spouse’s Secret Offshore Bank Accounts appeared first on Asset Search Blog. [read post]
6 Aug 2011, 5:02 pm
OppenheimerFunds Settles Mismanagement Case for $100 Million, Bloomberg Businessweek, July 26, 2011 OppenheimerFunds to pay $100 million to settle mismanagement case, Denver Post, July 27, 2011 More Blog Posts: Mortgage-Backed Securities Lawsuit Against Bank of America’s Merrill Lynch Now a Class Action Case, Stockbroker Fraud Blog, June 25, 2011 Class Members of Charles Schwab Corporation Securities Litigation Can Still Opt Out to File Individual Securities… [read post]
12 Nov 2007, 11:54 am
Today, Citigroup and Merrill Lynch (maybe Bear Stearns will be next) have rid themselves of tempestuous CEOs seemingly addicted to golf. [read post]
27 Jul 2020, 9:42 am
ING Financial Advisers, LLC Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Jennifer Pendley J.P. [read post]
19 Aug 2008, 4:57 pm
For example, in the months leading up to the collapse, JP Morgan Securities, Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos. and Merrill Lynch & Co. warned the Commonwealth of Massachusetts that the auction-rate markets were in trouble and that the state should consider refinancing some of its debt. [read post]
12 Jun 2018, 8:51 am
Courtesy of LAWA The bonds were underwritten by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Ramirez & Co., Inc. [read post]
5 Nov 2013, 6:03 am
Investors in the Merrill Lynch Systematic Moment FuturesAccess LLC fund lost $135.3 million from 2009 to 2012 after fees were deducted. [read post]
