Search for: "Merrill Lynch "
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11 Sep 2009, 9:12 am
A federal court has approved a $475 million settlement in a class action case involving Merrill Lynch. [read post]
15 May 2009, 3:18 am
Temasek paid about $5.9 billion for a 14 percent stake in Merrill Lynch in a deal that was announced December 2007. [read post]
18 May 2023, 9:38 am
According to William King’s FINRA broker report, he has been associated with Merrill Lynch since 1985. [read post]
21 Feb 2010, 5:00 am
The Race to the Bottom discussed here the SEC’s original complaint against Bank of America (“BofA”), in which the SEC alleged that BofA failed to disclose bonuses to Merrill Lynch (“Merrill”) executives and employees. [read post]
22 Dec 2015, 8:38 am
A recent FINRA regulatory settlement results in the fining and suspending of a dubiously incentivized former Merrill Lynch, Pierce, Fenner & Smith registered representative, who, it seems, was also dually employed at the member firm's affiliated bank. [read post]
14 May 2013, 3:31 am
Stockman, Respondent (AWC 2012033507601, May 9, 2013).Between July 1999 and August 2012, David Stockman ("Stockman") was registered with FINRA member firm Merrill Lynch, Pierce Fe... [read post]
4 Nov 2016, 6:01 am
Claimant's career was ruined when securities firms refused to hire her, and her ability to support herself and her family was destroyed.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2015 and as amended thereafter, former Merrill Lynch registered representative Claimant Adeimy asserted breaches of the employment agreement, contract, equitable and just principles of trade, fiduciary duties;… [read post]
30 Nov 2007, 4:33 am
John Thain doesn’t start at Merrill Lynch until Monday, but he’s already poised to make a key hire from his alma mater, NYSE Euronext, The Wall Street Journal reported. [read post]
2 Mar 2012, 9:05 am
The situation involving Banc of America Securities (Merrill Lynch) and Lyon Capital Management seems to be similar to the situation involving many other CDO’s during the crisis. [read post]
13 Mar 2009, 6:58 am
Merrill Lynch Commodities, Inc. and Teekay Corp. announced yesterday that the companies plan to develop a floating LNG liquefaction facility in Kitimat, British Columbia. [read post]
13 Oct 2008, 2:07 am
Merrill Lynch, et al.. [read post]
24 Jul 2015, 6:01 am
As we previously reported, (See Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstances) news sources have been investigating the termination of financial advisor Thomas Buck (Buck) and his daughter Ann Buck by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under circumstances that some would consider unusual. [read post]
17 Sep 2019, 6:09 am
” Boggs worked at Merrill Lynch’s Chicago office from 2006 to 2018. [read post]
11 Jul 2011, 6:54 am
” The arbitrators also assessed 100% of the hearing session fees against Merrill Lynch. [read post]
25 Jan 2011, 12:38 pm
The Illinois Department of Insurance wrote to each funeral home that was determined to have a claim in the $18,000,000 Fund established by Merrill Lynch for IFDA master trust participants. [read post]
12 Mar 2008, 2:45 pm
O'Neal received $161 million after stepping down from Merrill Lynch. [read post]
29 Oct 2007, 1:22 pm
Merrill Lynch economists David Rosenberg and Neil Dutta have prepared a fascinating analysis comparing a number of current economic indicators with those from the late 1980s. [read post]
3 Aug 2009, 3:38 pm
The bank had previously told shareholders that Merrill Lynch was not going to award end-of-year bonuses. [read post]
24 Feb 2013, 10:00 pm
Plaintiff: Merrill Lynch / Merrill Lynch Bank, USA Plaintiff’s Law Firm: Pollack & Rosen, P.A. [read post]
2 Jul 2007, 10:00 pm
Merrill Lynch: Perils of Workplace Culture George is quoted in article on lawsuit against Merrill Lynch that "provides a fresh reminder that blindly participating in the less polite side of your workplace culture can damage your career. [read post]
