Search for: "Merrill Lynch "
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15 Sep 2008, 10:46 am
In one of the most dramatic days in Wall Street's history, Merrill Lynch agreed to sell itself on Sunday to Bank of America for roughly $50 billion to avert a deepening financial crisis, while another prominent securities firm, Lehman Brothers, said it would seek bankruptcy protection and hurtled toward liquidation after it failed to [...] [read post]
7 Apr 2009, 7:12 am
According to this report from Reuters, Merrill Lynch is spending $75 million to settle an ERISA action relating to the offer of its stock as an investment option in the company retirement plan. [read post]
18 Sep 2007, 5:18 am
Robert Miller over at Truth on the Market has another post up on the recent Second Circuit decision in Merrill Lynch & Co., Inc. v. [read post]
29 Feb 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., ___ F.3d ___ (7th Cir. [read post]
20 Jun 2008, 12:27 pm
From Louise Story, a DealBook colleague: Friday is a “quadruple witching day,” which means that lots and lots of Merrill Lynch options are expiring. [read post]
1 Apr 2008, 6:44 pm
SCA alleges that "Merrill Lynch made the decision to blatantly ignore its prior commitments," when, in a "rushed campaign" to dump risk from its books, Merrill Lynch promised such control rights to others. [read post]
3 Nov 2021, 7:14 am
According to Advisor Hub and other industry news sources the Financial Industry Regulatory Authority levied sanctions against Merrill Lynch and two of its brokers over allegedly early rollovers of Unit Investment Trusts. [read post]
20 Sep 2021, 6:08 pm
Boggs, a Chicago-based registered investment advisor and former Merrill Lynch financial advisor, told his clients that he would use their funds to buy securities. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
9 Apr 2010, 7:50 am
The Massachusetts securities regulators charged Merrill Lynch with improperly selling unregistered auction rate securities to two cooperative banks that did not qualify as "Qualified Institutional Buyers" under SEC Rule 144A. [read post]
19 Jan 2010, 11:29 am
Here is the complaint the SEC filed against the Bank of America, charging that the company failed to disclose Merrill Lynch's fourth quarter losses in its proxy solicitation seeking approval for the merger. [read post]
11 Mar 2009, 8:34 am
Merrill Lynch will pay $7 million as part of a settlement with the Securities and Exchange Commission over the use of squawk boxes, the intercom systems that sit on the desks of traders, brokers and salespeople and are commonly used to bark out orders and other internal communications. [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]
24 Oct 2008, 11:07 am
Raymond James snags high-earning Merrill team: "A veteran Michigan-based brokerage team at Merrill Lynch & Co. [read post]
11 Jan 2017, 6:29 am
He has been at Merrill Lynch his entire brokerage career, first registering with the firm in 1995. [read post]
5 Sep 2008, 2:48 pm
Analysts at Goldman have downgraded Merrill Lynch’s stock to “sell” and added their crosstown rival to the firm’s “conviction sell” list. [read post]
21 Nov 2007, 10:56 am
Merrill Lynch’s stock changed hands at $50.50 late Wednesday morning, touching its lowest level in four years. [read post]
9 Jul 2008, 11:34 am
A blind trust run by New York City Mayor Michael Bloomberg is willing to pay between $4.5 billion and $5 billion to buy Merrill Lynch’s 20 percent stake in Bloomberg L.P., The New York Post reported citing unidentified sources. [read post]
19 Feb 2015, 12:14 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
22 Sep 2009, 2:26 pm
September has been a rough month for Bank of America and Merrill Lynch. [read post]
