Search for: "Merrill Lynch Corporation"
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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]
17 Jan 2008, 5:50 am
Merrill Lynch, et al. (06-1341). ...Justice Anthony M. [read post]
12 Oct 2022, 12:22 pm
The 9/11 lawyers at Hansen & Rosasco, LLP have helped past and current employees of the following downtown Manhattan companies win their 9/11 VCF claims: Goldman Sachs Morgan Stanley Marsh & McLennan Companies Merrill Lynch Bank of New York Mellon AIG (American International Group) New York Stock Exchange (NYSE) American Stock Exchange New York Mercantile Exchange (NYMEX) Federal Reserve Lehman Brothers Standard & Poor’s Bank of America Port Authority… [read post]
3 Sep 2008, 3:36 pm
Specifically, regulators announced settlements in principle, with UBS, Citigroup, Merrill Lynch, Morgan Stanley, Wachovia, Goldman Sachs, JP Morgan and Deutsche Bank. [read post]
19 Nov 2011, 9:21 pm
Oppenheimer Rochester Funds Lose Dismissal Bid, Face Trial, Bloomberg/Business Week, October 25, 2011 Oppenheimer Muni Bond Investors May Sue Over Alleged Misstatements in Prospectuses, BNA Securities Law Daily, October 26, 2011 More Blog Posts: 8/31/11 is Deadline for Opting Out of $100M Oppenheimer Mutual Funds Class Action Settlement, Stockbroker Fraud Blog, August 17, 2011 Oppenheimer Champion Income Fund Resulted In Significant Financial Losses for Investors from Citigroup, UBS,… [read post]
24 Apr 2012, 6:39 am
Finally, the Court denied the petition filed by a former Merrill Lynch executive convicted of lying to a grand jury regarding a deal in which Enron was involved. [read post]
21 Feb 2018, 10:42 am
He has multiple customer complaints listed on his BrokerCheck report, and was dismissed from his former employer, Merrill Lynch, Pierce, Fenner and Smith in 2008 for allegations of exercising discretion in a customer’s account without written authorization. [read post]
16 Feb 2019, 1:34 pm
Daniel Levine, FINRA states, has been registered at the following firms: First Financial Equity Corporation, Greenwood Village, Colorado— July 5, 2018 to August 7, 2018Morgan Stanley, Greenwood Village, Colorado— June 7, 2013 to August 2, 2018 UBS Financial Services Inc., Littleton, Colorado— February 15, 2008 to June 17, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated, Englewood, Colorado— December 6, 2002 to February 22, 2008… [read post]
14 Nov 2007, 12:00 pm
Morgan, Lehman Brothers, Merrill Lynch and Citigroup, had written comment letters to the Commission championing various positions of these entities. [read post]
16 Feb 2009, 8:10 am
Trust for Certificate Holders of Merrill Lynch Investors Inc. [read post]
28 Apr 2012, 8:50 pm
Allstate has also filed RMBS lawsuits against other financial firms, including Merrill Lynch (MER) units, Citigroup Inc. [read post]
7 Jan 2008, 7:51 am
These firms include: Pax World Management, which developed a "sin" rating system 36 years ago, and now uses both financial and ESG metrics in deciding where to invest; Northern Trust Corporation, which expects to introduce a mutual fund soon that will base investment decisions in part on the new… [read post]
29 Oct 2007, 10:32 am
Stan O’Neal, the Merrill Lynch chief who found himself in the above situation, hired Bachelder. [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]
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]
6 Apr 2010, 5:28 am
Merrill Lynch Asset Management, Inc. applied the correct standard for determining when an investment adviser has breached the fiduciary duty owed to captive mutual fund shareholders established under Section 36(b) of the Investment Company Act of 1940 (ICA). [read post]
2 Jun 2011, 11:09 pm
Judge Rakoff, after the dust had settled, partially, had no problem turning down the SEC's settlement with BoA, for example, regarding the crisis acquisition of Merrill Lynch. [read post]
16 Dec 2011, 3:19 pm
It is the center for major corporate office and research facilities, including Merrill Lynch, Bristol-Myers Squibb, Princeton University Plasma Research Physics Lab, and GE Communications. [read post]
22 Apr 2021, 6:15 am
The broker-dealers who sold GPB, including those at Advisor Group, are not behemoths like Merrill Lynch or Morgan Stanley. [read post]
22 Dec 2008, 9:41 pm
., together with Deutsche Bank Trust Company Americas, Merrill Lynch Capital Corp., the Pension Benefit Guaranty Corp., Vertis, Inc. and the Washington-Baltimore Newspaper Guild Local 32035. [read post]
