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27 Apr 2023, 12:35 pm
When the advisor and his team resigned from Merrill Lynch, they retained the nonpublic personal information of customers. [read post]
25 Jun 2011, 7:42 pm
Merrill Lynch is a unit of Bank of America Corp. [read post]
22 Mar 2018, 3:07 pm
The $83 million award represents 20% of the $415 million fine levied against Merrill Lynch (“Merrill”) by the SEC. [read post]
22 Mar 2018, 3:07 pm
The $83 million award represents 20% of the $415 million fine levied against Merrill Lynch (“Merrill”) by the SEC. [read post]
6 Aug 2009, 11:39 am
Although Bank of America has agreed to settle charges by the Securities and Exchange Commission that the broker-dealer misled investors about Merrill Lynch bonuses worth billions of dollars, a federal judge is withholding approval for the $33 million penalty. [read post]
5 Nov 2008, 3:49 pm
Many Merrill Lynch brokers are reportedly considering leaving the firm now that it has been acquired by Bank of America. [read post]
31 Jul 2007, 6:23 pm
Former Merrill Lynch employee Hydie Sumner sued that firm saying she was sexually harassed. [read post]
11 Feb 2009, 1:04 pm
In a letter to Barney Frank, Chairman of the House Committee on Financial Services, New York State Attorney General Andrew Cuomo states that, "in a surprising fit of corporate irresponsibility," Merrill Lynch decided secretly to move up the planned date... [read post]
15 Oct 2009, 9:19 pm
§ 1407, Over Objections of Class Action Plaintiffs, and Transfers Actions to Southern District of New York Four class actions – one each in Kentucky, Louisiana, Massachusetts and New York – were filed against various defendants including Merrill Lynch arising out of “allegations that Merrill Lynch and/or its employees made misrepresentations or omissions in the context of the sale of auction rate securities (ARS) and manipulated the auctions… [read post]
15 Mar 2019, 6:26 am
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4493/merrill-lynch-finra/For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
14 Nov 2007, 3:33 pm
Reuters is gushing - "Merrill Lynch & Co Inc on Wednesday named NYSE Euronext Chief Executive John Thain as its new CEO, bringing in an outsider with a Goldman Sachs pedigree to repair an image battered by wrong-way bets on subprime mortgages. [read post]
15 Apr 2008, 7:11 am
According to senior executives at Merrill Lynch, the company is likely to post a first-quarter loss on write-downs between $6 and $6.5 billion. [read post]
23 Jan 2009, 3:01 am
Then question is thus: when did Bank of America learn of Merrill Lynch's real problems, and when did BoA have a duty to reveal the losses? [read post]
16 May 2007, 10:29 am
The court decision simply puts us back to where we were before the Merrill Lynch Rule, and to where we have been for some 50 plus years. [read post]
2 Aug 2006, 1:00 am
[JURIST] The US Court of Appeals for the Fifth Circuit [official website] on Tuesday reversed the convictions [opinion text, PDF] of four former Merrill Lynch [corporate website] executives found guilty in connection with an Enron [corporate website; JURIST news archive] Nigerian barge scam. [read post]
30 Oct 2007, 8:16 am
Merrill Lynch has announced $2.2 billion in losses, due largely to the expansion of its portfolio in mortgaged-backed securities tied to the failing sub-prime market. [read post]
31 May 2011, 6:26 am
The Financial Industry Regulatory Authority has hit Credit Suisse Securities LLC with a $4.5 million fine and Merrill Lynch with a $3 million fine for not properly representing data and supervising the residential subprime mortgage securitizations they sold.The fines, which were announced by independent regulator FINRA on Thursday, were for improper handling that took place at the firms in 2006 [read post]
1 Jul 2011, 8:29 am
Merrill Lynch & Co. (3d Cir. 2011). [read post]
28 Jan 2021, 6:13 am
The post Ex-Merrill Lynch Broker Tyler Delahunt Barred from Securities Industry appeared first on The White Law Group. [read post]
30 Mar 2011, 1:43 am
Skadden represented Bank of America and Merrill Lynch in the two derivative suits. [read post]
