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12 Jan 2021, 1:42 pm
Washington (CRD # 5420613) is a financial advisor at Merrill Lynch in Washington, DC. [read post]
6 Apr 2012, 2:36 am
A FINRA arbitration panel recently ordered Merrill Lynch to pay two former brokers about $5 million in deferred compensation and tacked on an additional $5 million in punitive damages. [read post]
8 Jun 2012, 6:41 am
Lewis, in 2008 concealed from shareholders about to vote whether to approve the bank's purchase of Merrill Lynch that the... [read post]
16 Apr 2013, 1:28 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain customer transactions involving non-convertible preferred securities executed on one of its proprietary order management systems (ML BondMarket), and for failing to... [read post]
23 Oct 2009, 2:48 pm
On October 22, 2009, Missouri Secretary of State Robin Carnahan announced that Merrill, Lynch, Pierce, Fenner & Smith, Inc. [read post]
17 Aug 2009, 3:21 am
Defendant Merrill Lynch (and Merrill Lynch Global Private Equity Inc.), purchaser, told Plaintiff that the deal could only go through financially if Plaintiff took a fee of $1.5 million rather than the $7.15 million that it would get under the existing broker fee agreement. [read post]
24 Feb 2009, 1:22 pm
A New York State judge ruled that former Merrill Lynch CEO John Thain could identify the Merrill employees who received the largest bonuses last year before the securities firm was acquired by Bank of America. [read post]
23 Apr 2009, 4:27 pm
New York Attorney General Andrew Cuomo has been conducting an investigation into Bank of America's merger with Merrill Lynch. [read post]
5 Oct 2009, 3:40 pm
The Am Law Daily checked in with Knecht to talk about the move and the BoA/Merrill merger. [read post]
9 Nov 2017, 1:40 pm
Buck was a registered financial advisor with Merrill Lynch, Pierce, Fenner & Smith (“Merrill Lynch”), which since January 2009 has operated as a division of Bank of America. [read post]
25 Oct 2016, 6:29 am
Merrill Lynch believes that moving to a fully fee-based business will help mitigate the risks involved in certain provisions of the new DOL rule.However, not all firms are taking the path of Merrill Lynch. [read post]
4 Nov 2013, 8:34 am
As such, Massachusetts securities regulators fined Merrill Lynch $500,000 for “failure to supervise. [read post]
1 Dec 2016, 6:34 am
Merrill Lynch neither admitted nor denied the charges. [read post]
28 Oct 2007, 11:33 am
Merrill’s co-president Greg Fleming, on the other hand, has one, from Yale no less. [read post]
31 Oct 2008, 7:00 am
Bank of America wants all of Merrill's financial advisors to sign a new noncompete agreement which could prevent those financial advisors from taking their clients/customers with them should they ever decide to leave their employment.A Merrill spokesman says the noncompetes don't change Merrill's "Protocol for Broker Recruiting. [read post]
4 Feb 2010, 12:37 pm
On Feb. 4, Cuomo charged Lewis of defrauding investors and the U.S. government when he helped put the wheels into motion for Bank of America to buy financially troubled Merrill Lynch & Co. [read post]
20 Dec 2007, 8:14 pm
The class action settlement requires Merrill Lynch to pay $15 million; this is in addition to the $100 million Merrill Lynch agreed to pay to settle a separate action filed by the Attorney General of the State of New York. [read post]
29 Nov 2011, 3:21 am
Merrill Brink document translation services [read post]
5 Nov 2008, 3:49 pm
Bank of America, the new parent of Merrill Lynch, has offered Merrill's 17,760 Registered Representatives a written job offer -- in the form of a retention agreement -- which they must accept or reject by November 14, 2008. [read post]
27 Jun 2012, 12:40 pm
(“Merrill Lynch Fined for Overcharging Customers,” Wall Street Journal). [read post]
