Search for: "Merrill Lynch "
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24 Oct 2007, 8:03 am
That was the old joke that came to mind on Wednesday when, during a conference call to discuss Merrill Lynch’s dismal third-quarter earnings, E. [read post]
31 Jul 2008, 8:47 pm
[sic]” That cri-de-coeur, penned by a Merrill Lynch executive in an e-mail message last November, showed [...] [read post]
30 Nov 2011, 4:52 pm
Upon the market's decline beginning 2007, Merrill Lynch and other large broker-dealers started letting auction-rate securities auctions fail. [read post]
16 Mar 2015, 4:01 am
In a recent effort by Merrill Lynch to collect nearly a quarter of a million dollars in a promissory note balance, the former employee counterclaimed for over $1 million in his own damages. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS Securities, L.L.C.; E*TRADE Capital Markets, L.L.C.;… [read post]
24 Apr 2020, 5:21 am
A public customer filed a FINRA arbitration case against Merrill Lynch. [read post]
14 Jan 2008, 3:19 pm
According to the Wall Street Journal, the Securities and Exchange Commission has commenced an investigation into accusations of "front running" by Merrill Lynch brokers. [read post]
12 Dec 2014, 6:35 am
I am not quite sure when a $250,000 account became a small account, but Merrill Lynch told its brokers on Wednesday that it is eliminating pay for servicing clients with less than $250,000Now, if you are a client at Merrill, with an account worth "only" $250,000, are you going to stay with Merrill? [read post]
11 Aug 2009, 2:42 pm
Oh, that Judge Rakoff is such a spoilsport, refusing to bless the SEC's settlement with Bank of America on the Merrill Lynch bonuses.The Times said today that the judge may hold a hearing to find out whether the bonuses - all $3.6 billion - were necessary. [read post]
1 Sep 2008, 3:52 pm
Related Web Resources: SEC Enforcement Division Announces Preliminary Settlement With Merrill Lynch to Help Auction Rate Securities Investors, SEC, August 22, 2008 Merrill Lynch to Buy Auction Rate Securities Positions From Its Retail Clients, Merrill Lynch, August 7, 2008 Merrill Lynch settlement with SEC worth up to $7B, Associated Press, August 22, 2008 Investment banks settle bond cases with New York State, International… [read post]
25 Aug 2009, 9:00 am
("Merrill Lynch"). [read post]
2 Apr 2012, 10:00 pm
Rasnick FINRA recently announced that it fined Merrill Lynch, Pierce, Fenner & Smith (“Merrill”) one million dollars for failing to arbitrate claims with employees. [read post]
31 Jul 2008, 5:13 pm
Today, Massachusetts securities regulators charged Merrill Lynch with fraud in the sale of auction-rate securities. [read post]
11 Nov 2008, 2:47 pm
Merrill Lynch & Co., Inc., et al., (Del. [read post]
3 Nov 2008, 11:38 am
Merrill Lynch [read post]
10 Oct 2011, 3:51 pm
It was supervisors at Merrill Lynch that gave the green light for him to open an account for B & J. [read post]
22 Dec 2010, 10:52 am
Merrill Lynch Pierce Fenner & Smith Inc. [read post]
5 Nov 2007, 5:05 am
On Oct. 24, Merrill Lynch announced its biggest write-down ever, an $8.4 billion charge that also represents the biggest known loss in Wall Street history. [read post]
11 Jun 2008, 11:42 am
Merrill Lynch’s chief executive, John Thain, on Tuesday said he would like to see broker-dealer access to the Federal Reserve discount window continue longer term, though any increase of regulation in exchange must be appropriate for securities firms. [read post]
29 Jan 2007, 9:03 am
Shares of the Cowen Group have risen nearly 30 percent from last year’s initial public offering, but Merrill Lynch analyst Guy Moszkowski is concerned that there may be little upside left. [read post]
