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31 Jul 2008, 5:13 pm
Today, Massachusetts securities regulators charged Merrill Lynch with fraud in the sale of auction-rate securities. [read post]
6 Aug 2009, 11:39 am
Investigators also found out Merrill had bumped up the date of its end-of-year bonus payments and that Bank of America had let Merrill pay the bonuses to its executives. [read post]
5 Dec 2008, 4:00 pm
MLPFS is a wholly owned subsidiary of Merrill Lynch. [read post]
3 Nov 2008, 11:38 am
Merrill Lynch [read post]
8 Feb 2024, 6:35 am
Merrill Technologies Group, Inc. and its subsidiaries, Merrill Tool and Machine, Inc. [read post]
6 Dec 2011, 4:55 pm
(The offerings occurred before Bank of America bought Merrill.) [read post]
22 Sep 2009, 2:26 pm
September has been a rough month for Bank of America and Merrill Lynch. [read post]
11 Nov 2008, 2:47 pm
Merrill Lynch & Co., Inc., et al., (Del. [read post]
19 Jul 2022, 6:37 am
Harvard Law School’s Election Law Clinic filed this amicus brief yesterday in Merrill v. [read post]
30 Mar 2009, 4:08 pm
On March 16, A FINRA arbitration panel awarded claimants $30.6 million in compensatory damages (the full amount of claimant's claim), plus 9% interest, against Advest, Inc. and Merrill Lynch, one of the largest awards in a customer dispute. [read post]
18 Sep 2007, 5:18 am
Robert Miller over at Truth on the Market has another post up on the recent Second Circuit decision in Merrill Lynch & Co., Inc. v. [read post]
7 Sep 2018, 3:52 pm
The firm is suing Merrill advisors Kirk Cunningham and Todd Helfrich for violating non-solicitation agreements and improperly taking client contact information. [read post]
11 Feb 2009, 8:15 pm
TGS began FINRA arbitration proceedings against Merrill in November. [read post]
22 Feb 2019, 11:52 am
The post Collateral Yield Enhancement Strategy (CYES) Offered by Merrill Lynch, Morgan Stanley and Other Firms appeared first on Zamansky LLC. [read post]
15 Mar 2019, 6:26 am
During his tenure at what was once called "Mother Merrill" or "The Thundering Herd," Billington got Merrill stock and stock options, which he put into his Trust. [read post]
1 Apr 2021, 7:17 am
Marcus Boggs, CRD#5055667, who spent his entire 12-year brokerage career with Merrill, entered the plea during a virtual hearing before U.S. [read post]
25 Aug 2009, 9:00 am
("Merrill Lynch"). [read post]
17 Oct 2010, 5:58 pm
According to the article, Merrill Lynch's employee policies provide that a broker who resigns for "Good Reason" is entitled to have his deferred compensation benefits vest at the time of his resignation.According to the article, at the time of its merger with Bank of America, brokers were leaving, and Merrill canceled the deferred comp benefits, and simply refused to pay out any funds for a "Good Reason" resignation, something Merrill Lynch had… [read post]
25 Jul 2007, 7:03 pm
A NASD arbitration panel ordered Merrill Lynch & Co. [read post]
27 May 2011, 8:45 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million. [read post]
