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13 Feb 2018, 10:45 am
Update on Securities Fraud Investigation: Tom Buck and Merrill Lynch According to a press announcement from The Securities and Exchange Commission on February 9, the regulator has barred former Merrill Lynch broker Tom Buck from the securities industry. [read post]
29 Jun 2016, 3:25 pm
The SEC charged Merrill Lynch for misusing customer cash and failing to safeguard its securities. [read post]
14 Aug 2018, 1:32 pm
Merrill Lynch fired Buck, who was the brokerage firm’s leading Indiana financial adviser, in early 2015. [read post]
18 Feb 2009, 1:27 pm
Amegy alleges that Merrill knew but failed to disclose that there was no reliable market for auction-rate securities, that Merrill was propping up auctions that would otherwise fail, and that Merrill intended to stop propping them up very soon but didn't tell anyone that. [read post]
4 Aug 2008, 9:16 pm
Related Web Resources: Secretary Galvin Charges Merrill Lynch with Fraud in Auction Rate Securities Dealings (The Complaint) Massachusetts sues Merrill Lynch over auction securities, USA Today, August 1, 2008 Merrill Lynch [read post]
13 Oct 2021, 10:08 am
Former Merrill Lynch Financial Advisor Has Been Named in Nine Customer Disputes Peter Edward Eckerline, a longtime Merrill Lynch broker who spent his entire 37 years industry with the firm until August 2021, has been named in nine customer disputes by claimants. [read post]
12 Mar 2021, 3:43 pm
Kowalski, former Merrill Lynch financial advisors. [read post]
18 Nov 2014, 8:19 pm
Merrill, a case from the Mississippi Supreme Court, involved an at-fault driver who crashed into the rear of plaintiff's car. [read post]
22 Jan 2009, 1:32 am
(A related question is when Merrill became aware of the losses, but don’t expect any Merrill shareholders to raise the concern, as the completion of the merger was clearly in their best interest.) [read post]
1 Oct 2012, 1:13 am
In following days, news reports revealed that in the days prior to the deal’s close, Merrill employees had been paid massive bonuses. [read post]
12 Jun 2024, 1:41 pm
Merrill Lynch reportedly terminated Rahman for various policy breaches, including undisclosed outside business activities and improper management of a client’s account. [read post]
20 Aug 2012, 11:27 am
Have you been defrauded by Merrill Lynch financial advisor James Ryan Lanier? [read post]
20 Aug 2012, 11:27 am
Have you been defrauded by Merrill Lynch financial advisor James Ryan Lanier? [read post]
18 Jun 2018, 2:02 pm
Merrill Lynch agreed to settle the claims for approximately $16 million without admitting or denying the allegations. [read post]
Seventh Circuit permits class action race discrimination lawsuit against Merrill Lynch to go forward
24 Feb 2012, 11:56 am
Today, the Seventh Circuit Court of Appeals, reversing the decision of the trial court, held that a class of black stockbrokers who work, or used to work, for Merrill Lynch could continue to pursue their race discrimination case against Merrill Lynch as a class action. [read post]
8 Mar 2011, 3:56 pm
District Court for the Western District of Washington says that King County, Washington has pleaded sufficient facts to continue with its securities fraud lawsuit accusing Merrill Lynch, Merrill Lynch, Pierce, Fenner and Smith Inc. and Merrill Lynch Money Markets Inc. of facilitating its purchase of allegedly toxic mortgage-backed securities and violating the Washington State Securities Act. [read post]
17 Jul 2014, 7:18 am
Merrill Lynch’s retail platform offers a variety of different mutual funds. [read post]
8 Aug 2008, 3:31 pm
Merrill has estimated that this offer will cost the firm approximately $10 billion. [read post]
24 Sep 2012, 3:13 pm
Merrill was fined $500,000 for its supervisory lapses. [read post]
17 Jun 2009, 6:27 pm
"Merrill Lynch execs in Enron case can be retried": The Associated Press has a report that begins, "A federal appeals court says the retrial of three former Merrill Lynch & Co. executives connected to an Enron Corp. deal would not violate their constitutional protections against double jeopardy. [read post]
