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3 Sep 2009, 7:02 am
Bernanke also said no one at the Fed ever urged Bank of America to keep quiet about Merrill Lynch's financial problems. [read post]
27 Feb 2007, 12:19 pm
., Merrill Lynch and Company, PriceWaterhouseCoopers, And Others Yesterday, the Supreme Court announced that it will not take a case involving Crown Vantage Inc. and its allegations that PriceWaterhouseCoopers LLP, Merrill Lynch and Co., Inc., a Credit Suisse Group unit, as well as other individuals and companies, approved a fraudulent transaction that had been executed by James River Corp., Crown's parent company at the time. [read post]
13 Jan 2010, 5:43 pm
The SEC has filed another suit against Bank of America, based on B of A's failure to disclose to its own shareholders the extent of Merrill losses B of A picked up in the government assisted acquisition which closed January... [read post]
8 Mar 2019, 8:54 am
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4482/finra-merrill-lynch-team/Two veteran, female Wall Street stockbrokers worked at UBS before joining Merrill Lynch. [read post]
22 Mar 2019, 6:09 am
As set forth in part in the SEC Press Release:The SEC’s order found that Merrill Lynch improperly borrowed pre-released ADRs from other brokers when Merrill Lynch should have known that those brokers – middle... [read post]
20 Dec 2015, 4:39 am
A former Wachovia/Wells Fargo registered representative resigned and joined what he thought would be the greener pastures of Merrill Lynch. [read post]
26 Aug 2017, 12:51 pm
This is an update of "Merrill Lynch FINOP Cited By SEC for Unprecedented Violations" (BrokeAndBroker.com Blog, February 15, 2017)As with most lawsuits, any given defendant or respondent may or may not be guilty; and in a recent Securities and Exchange Commission administrative proceeding, that question is still an open one. [read post]
14 Jul 2011, 8:43 pm
Meantime, Merrill Lynch had sough to have the entire matter dismissed and that it be awarded all costs incurred from the suit and other relief as deemed appropriate. [read post]
31 May 2007, 9:45 am
Merrill Lynch retained a much smaller number of brokers than expected it bought Advest in December 2005. [read post]
29 Feb 2016, 6:40 am
In November 2015, Sands’ then brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) terminated Sands for cause alleging that the broker engaged in conduct inconsistent with the firm’s selling away policies. [read post]
4 Aug 2009, 2:06 am
Bank of America agreed to pay $33 million on Monday to settle federal charges that it hid from investors plans to pay billions of dollars in bonuses to employees of Merrill Lynch.The SEC accused the firm of misleading shareholders when the bank asked them to approve the deal, which was ultimately concluded under intense federal pressure as Merrill Lynch teetered on the verge of collapse. [read post]
8 Apr 2008, 4:46 am
Merrill Lynch does not plan to raise more capital and will continue to shrink its balance sheet amid the global credit crunch, the investment bank’s chief executive, John Thain, said on Tuesday. [read post]
3 Aug 2018, 9:03 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities Exchange Commission (“SEC”), as well as Merrill Lynch International Finance, Inc. [read post]
11 Mar 2009, 2:53 pm
Journal reports that the New York State Attorney General accuses Merrill Lynch of "misleading" Congress about the timing of the company's decision to pay $3.6 billion in bonuses. [read post]
26 Oct 2007, 11:27 am
CEO Stanley O'Neal of Merrill Lynch is in hot water because, among other things, he approached Wachovia about a merger without informing his board of directors of his intentions. [read post]
11 Aug 2009, 10:09 am
AN OFFER HE COULDN’T REFUSE: Bank of America, Merrill Lynch, and the Fed. [read post]
21 Jun 2007, 10:38 am
Some of the fund's assets were held at Merrill Lynch, on margin. [read post]
28 Aug 2007, 4:40 am
Merrill Lynch is apparently not so hot on some of its rivals’ prospects right now. [read post]
3 Aug 2014, 11:14 pm
Hutchins "works with other Merrill Lynch financial advisers to manage their clients' transitions into retirement. [read post]
11 Jan 2008, 11:43 am
Merrill Lynch on [...] [read post]
