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22 Oct 2019, 12:00 pm
Bank of America announced that Merrill Edge’s self-directed program will offer unlimited commission-free trades of stocks, ETFs and options for self-directed clients who are also enrolled in the bank’s Preferred Rewards, a program that gives clients additional benefits — like rewards on credit cards or preferential interest rates — for using multiple products and services at the company. [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial Services… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co … [read post]
17 Oct 2019, 9:47 am
Merrills Memorial Conference. [read post]
7 Oct 2019, 9:17 am
Merrill, involving whether and when a candidate for office can challenge a rule limiting access to the ballot when the election in which he wanted to run has already passed; Integrity Staffing Solutions v. [read post]
4 Oct 2019, 8:38 am
In June 2019, Merrill Lynch Wealth Management President Andy Sieg boasted that his carrot-and-stick regi... [read post]
4 Oct 2019, 8:38 am
featured in today's Securities Industry Commentator:Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq (BrokeAndBroker.com Blog)How Forced Arbitration Tipped the Scales (PBS / Season 1 Episode 1)Former Salesman Pleads Guilty In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock (DOJ Release)Federal Jury Convicts Owner of Bullion Direct, Inc. in Austin for Investment and Wire Fraud Scheme (DOJ Release)Monroe County Resident Charged… [read post]
4 Oct 2019, 8:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4844/securities-industry-commentator/Ponzi Scheme Promoter Sentenced to 22 Years in Federal Prison for $396 Million Scheme—The Largest Ever Charged in Maryland / Kevin Merrill Also Obstructed Justice After his Arrest; SEC Has Related Civil Action / Defrauded Investors Across the Country (DOJ Release)SEC Obtains Sanctions Against Lek… [read post]
25 Sep 2019, 7:07 am
Merrill, issued on September 24. [read post]
18 Sep 2019, 10:11 am
Merrill Lynch is the broker-dealer division of Bank of America Corporation. [read post]
17 Sep 2019, 6:09 am
” Boggs worked at Merrill Lynch’s Chicago office from 2006 to 2018. [read post]
11 Sep 2019, 9:46 am
”) Merrill v. [read post]
10 Sep 2019, 11:35 am
Omega Healthcare Investors Inc. has agreed to sell 7.5 million shares of common stock to BofA Merrill Lynch or its affiliate, with an option to sell an additional 1.125 million shares, in ... [read post]
9 Sep 2019, 7:42 am
BofA Merrill Lynch and Barclays acted as financial advisors to the Permira funds and Barclays provided committed financing. [read post]
5 Sep 2019, 8:09 am
Indeed, UBS and Merrill Lynch investors whose portfolios are exposed to volatility sensitive yield enhancement options strategies are particularly vulnerable. [read post]
4 Sep 2019, 3:10 pm
I am pleased to report that Merrill indicated that New York and Texas should be launched in Q4. [read post]
3 Sep 2019, 12:29 pm
Well known brokerage firms like Merrill Lynch, Morgan Stanley, J.P. [read post]
3 Sep 2019, 10:53 am
Merrill Lynch issued a statement stating that Boggs was terminated in December, shortly after the company detected the fraud. [read post]
27 Aug 2019, 10:39 am
Our attorneys have recovered millions of dollars from many brokerage firms in the past, including Merrill Lynch and Morgan Stanley. [read post]
23 Aug 2019, 2:20 pm
Zamansky, LLC: Protecting Clients with Yield Enhancement Strategy Losses Investors and those who follow financial news may have become aware of the increase in lawsuits forming against UBS, Merrill Lynch, Credit Suisse and other brokerage and advisory firms. [read post]
