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15 Jul 2020, 9:11 am
Merrill Lynch is a Bank of America (BAC) subsidiary. [read post]
24 Aug 2012, 7:30 am
Bank of America Merrill Lynch’s settlement of a class action brought against it by former brokers has been characterized as a prudent move by the company. [read post]
15 Jan 2008, 7:11 am
Merrill Lynch From mid-October 2007 through November 2, 2007, Merrill Lynch lost over $17 billion in shareholder equity after investors learned the tragic consequences of its gamble with CDOs and subprime lending. [read post]
20 May 2008, 2:54 pm
In 2007, investor Ronald Ventura had filed a securities fraud lawsuit against Merrill Lynch & Co., Merrill Lynch, Pierce, Fenner & Smith Inc., and Blodget. [read post]
25 Jan 2023, 1:03 pm
Merrill Lynch financial advisors, Michael Turner and Jeremy Newton, at the Houston, Texas branch office of Merrill Lynch as the TSPN Wealth Management Group, were the subject of a customer complaint due to a call options trading strategy, according to FINRA Broker-Check. [read post]
22 Dec 2010, 10:52 am
Merrill Lynch Pierce Fenner & Smith Inc. [read post]
9 Dec 2013, 11:58 am
The Second Circuit agreed with the lower court that publicity about Merrill Lynch’s CDOs, related lawsuits and government investigations sufficiently alerted Woori to any claims prior to May 2009. [read post]
18 Feb 2011, 5:11 pm
Merrill Lynch International, Justia N.Y. [read post]
24 Jun 2008, 12:36 am
In 2002, the New York State Attorney General's Office accused Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch & Co. [read post]
31 Jul 2020, 12:08 pm
According to CNBC, which obtained documents from the FINRA arbitrations, Benson’s claim, currently pending before FINRA, names Merrill Lynch, Kenahan, and another Merrill Lynch advisor Dermod Cavanaugh and alleges damages in excess of $100 million due to churning and unauthorized trading. [read post]
30 Mar 2011, 1:43 am
The plaintiffs refilled their complaints seeking to compel BofA’s board to force its Merrill subsidiary to bring claims against certain Merrill directors and officers in connection with Merrill’s reckless investments. [read post]
Merrill Lynch v. Manning: SCOTUS to Decide Scope of Federal Jurisdiction in Certain Securities Cases
15 Dec 2015, 6:00 am
On December 1, 2015, the Supreme Court heard argument in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
24 Sep 2007, 9:51 pm
In the filing, Merrill cited "adverse market conditions" as its reason for withdrawing the IPO registration statement. [read post]
30 Apr 2020, 11:10 am
The Securities and Exchange Commission (“SEC”) announced this month that four investment advisory firms—Merrill Lynch, RBC Capital Markets, Eagle Strategies, and Cozad Asset Management—agreed to pay $4.72 million to settle charges that they recommended and sold mutual share classes to its customers when cheaper shares were available to those investors. [read post]
26 Sep 2013, 8:27 am
The SEC has charged a former Qualcomm executive and his Merrill Lynch broker with insider trading in an elaborate scheme involving family members and off shore brokerage accounts.The Securities and Exchange Commission said that former Qualcomm executive Jing Wang and his advisor, Gary Yin, made illegal trades in his company’s stock and that of a company purchased by Qualcomm. [read post]
16 Feb 2010, 1:58 pm
Beyond the alleged magnitude of the theft, were was Merrill Lynch's due diligence? [read post]
27 Aug 2009, 3:09 am
It seems that Southern District of New York Judge Jed Rakoff has been busy lately reviewing proposed settlements related to Merrill Lynch. [read post]
9 May 2016, 2:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. et al., Defendants (Opinion and Order on Interlocutory Appeal, United States District Court for the District of New Jersey, 12-4466, May 23, 2013), a group of Escala Group, Inc. shareholders filed a lawsuit in the Superior Court of New Jersey alleging that Defendants Merrill Lynch, Pierce, Fenner & Smith, Inc; Knight Capital Americas, L.P.; UBS Securities, L.L.C.; E*TRADE Capital Markets, L.L.C.; National Financial… [read post]
24 Apr 2020, 5:21 am
A public customer filed a FINRA arbitration case against Merrill Lynch. [read post]
16 Mar 2015, 4:01 am
In a recent effort by Merrill Lynch to collect nearly a quarter of a million dollars in a promissory note balance, the former employee counterclaimed for over $1 million in his own damages. [read post]
