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20 Dec 2017, 7:02 am
The post Merrill Lynch Fined $1.4 Million appeared first on . [read post]
19 Dec 2017, 10:43 am
FINRA says Merrill Lynch Deficiencies Related to Extended Settlement Transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million. [read post]
18 Dec 2017, 9:28 am
In a recent investigation into the plummeting of bond funds largely made up of Puerto Rico government bonds, CNBC revealed that broker-dealers on the Island, such as UBS, Santander Securities, Popular Securities, and Merrill Lynch, were less than “forthcoming about the extent of the risks of those bond funds” to “both its clients and brokers…. [read post]
14 Dec 2017, 10:48 pm
Bank of America acquisition of Merrill Lynch $2.4 billion In 2013, a federal judge in New York issued final approval to a $2.4 billion settlement stemming from the failure of mortgage-backed securities and Bank of America’s acquisition of Merrill Lynch & Co. [read post]
4 Dec 2017, 10:19 am
Bank of America Merrill Lynch’s (“Merrill Lynch”) brokerage unit offered Strategic Return Notes (“SRNs”) to customers, resulting in losses of as much as 95% of the principal invested. [read post]
30 Nov 2017, 11:16 am
It’s an industry trade agreement created in 2004 by Merrill Lynch, Smith Barney and UBS, that permits brokers from taking basic client contact information with them when they switch firms. [read post]
27 Nov 2017, 11:12 am
Net flows from high-yield bond funds jumped to $6.7 billion in the week ended Nov. 15, according to strategists from Bank of America Merrill Lynch. [read post]
15 Nov 2017, 6:21 pm
From 1993 to 2000, Camarco was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
14 Nov 2017, 1:58 pm
Mary’s College of Maryland, along with trustee and alumnus John Bell, a managing director in global equities at Bank of America Merrill Lynch in New York, have established two new scholarships for Harford County residents who have been admitted to St. [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]
9 Nov 2017, 2:30 am
Here we go again. [read post]
7 Nov 2017, 2:02 pm
Firms such as Morgan Stanley and Merrill Lynch signed on to the Protocol in 2004, in an effort to limit costly litigation or arbitration claims that can arise when brokers transition to new firms, or set up arrangements such as a Registered Investment Advisor (“RIA”). [read post]
7 Nov 2017, 12:00 am
The Future of Caregiving: The Coming Caregiving Crunch is a report released in October 2917 by Merrill Lynch and Age Wave that provides interesting data points to identify challenges and action items tied to aging in the U.S. [read post]
2 Nov 2017, 6:33 am
Registered carrying broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated was found to have held billions of dollars of its customers’ securities in accounts with third-party institutions that were subject to liens by the third parties in violation of the SEC’s customer protection rule. [read post]
1 Nov 2017, 11:28 am
The original pact was signed by UBS Financial Services and Merrill Lynch, Pierce, Fenner & Smith, but was joined by virtually every major wirehouse firm, most of the regional and independent broker-dealers and hundreds of registered investment advisors. [read post]
1 Nov 2017, 7:40 am
The post Zamansky LLC Investigates Merrill Lynch Financial Advisor Thomas J. [read post]
1 Nov 2017, 7:29 am
Buck was Merrill Lynch’s top producer in Indiana for many years and a top-ranked Barron’s broker. [read post]
24 Oct 2017, 11:29 am
(The only reason they have $1 million in cash to repay ECUSA is that the arbitrary and ignorant judges on the Court of Appeals, without any discussion or reasoning on the point, simply handed them all the money the former diocese under Bishop Schofield held in its investment trust accounts at Merrill Lynch.) [read post]
24 Oct 2017, 11:29 am
(The only reason they have $1 million in cash to repay ECUSA is that the arbitrary and ignorant judges on the Court of Appeals, without any discussion or reasoning on the point, simply handed them all the money the former diocese under Bishop Schofield held in its investment trust accounts at Merrill Lynch.) [read post]
28 Sep 2017, 12:22 pm
., its local development corporation, and four town officials who allegedly hid a deteriorating financial situation from municipal bond investors Two Merrill Lynch entities for using inaccurate “locate” data in the course of executing thousands of short sale ordersThe founder of Platinum Partners and two of its flagship hedge fund advisory firms for conducting a fraudulent scheme to inflate asset values and illicitly move investor money to cover losses and… [read post]
