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26 Jun 2009, 9:50 am
Bank of America Merrill Lynch has lost a senior banker in Asia and a former Merrill banker has joined Stifel Nicolaus, as the game of musical chairs among the investment banks continues. [read post]
2 Jan 2009, 12:35 pm
Merrill Lynch switched law firms midway through settlement talks in a discrimination lawsuit brought by an Iranian analyst who claimed Merrill terminated him because of his religion and national origin. [read post]
23 Jan 2009, 1:06 am
When John Thain became Merrill Lynch's CEO in early 2008, he hired Michael S. [read post]
4 Feb 2010, 8:55 am
A day of mixed news for BofA in the Merrill Lynch merger litigation. [read post]
11 Dec 2007, 11:09 pm
New York Attorney General Andrew Cuomo is subpoenaing several Wall Street firms, including Deutsche Bank AG, Merrill Lynch & Co, and Bear Stearns, for information about packaging and selling debt connect to high-risk mortgages. [read post]
3 Oct 2018, 9:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Christopher Hibbard (Hibbard), formerly associated with Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Merrill Lynch) in Louisville, Kentucky was terminated for cause by Merrill Lynch in January 2018 after the firm made allegations that Hibbard engaged in conduct including unauthorized transactions and theft. [read post]
28 Jul 2015, 8:18 am
Buck was terminated from Merrill Lynch on March 6, 2015, shocking colleagues. [read post]
18 Sep 2019, 10:11 am
Merrill Lynch is the broker-dealer division of Bank of America Corporation. [read post]
23 Feb 2009, 12:53 am
Even after Merrill Lynch’s recent $550 million settlement of the subprime-related securities and ERISA lawsuits pending against the company (about which refer here), the consolidated subprime-related derivative lawsuit against the company’s directors and officers remained pending. [read post]
2 Jan 2024, 1:04 pm
In a recent case on appeal to the SEC, it turns out that FINRA had accepted a former Merrill Lynch registered representative's Arbitration Statement of Claim and charged him for said filing. [read post]
5 Apr 2017, 12:22 pm
By way of spoiler alert, today's BrokeAndBroker.com Blog features the FINRA regulatory settlement of a former Merrill Lynch rep who allegedly took home confidential customer information involving 100 accounts, and, after leaving the firm and the industry, tried to sell the info for $10,000. [read post]
18 Dec 2020, 9:41 am
Unfortunately, for one wannabe Merrill Lynch Preferred Transition Specialist Trainee, it was the 25th little hour in jail that proved to be her undoing. [read post]
1 Oct 2018, 5:28 am
In today's featured FINRA expungement arbitration, we come across the plight of a Merrill Lynch rep who was burdened with a ten-year-old mark on his record for something that was not of his doing. [read post]
6 Feb 2019, 5:26 am
In today's featured FINRA regulatory settlement, we come across a Merrill Lynch iconoclast who aspired to fly beneath his firm's compliance radar. [read post]
12 Mar 2018, 3:29 am
In a recent FINRA arbitration, we got a AllianceBerstein former employee who apparently found peace and happiness at Merrill Lynch, but ... [read post]
20 Apr 2015, 3:51 am
In a recent FINRA expungement arbitration, FINRA's online BrokerCheck records asserted that a former Merrill Lynch registered representative had contributed half of the financial settlement paid to a complaining customer -- except the rep adamantly insisted that he had not made any contribution. [read post]
11 Mar 2018, 6:32 pm
Former Merrill Lynch Advisor Tom Buck faces 25 Years if Convicted Have you suffered investment losses with former financial advisor Thomas Buck and Merrill Lynch? [read post]
29 Oct 2010, 10:31 am
A new book offers an exclusive look into the firing of former Bank of America general counsel Tim Mayopoulos and other machinations during the course of the bank's shotgun wedding with Merrill Lynch. [read post]
18 Jun 2013, 8:30 am
In the Matter of the FINRA Arbitration Between Gregory Kiernan, Claimant, vs Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent (FINRA Arbitration 12-02362, June 14, 2013 )Respondent Merrill Lynch generally denied the allegations and asserted various affirmative defenses.The FINRA Arbitration Panel found Respondent Me... [read post]
8 Aug 2022, 4:02 am
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6602/merrill-lynch-finra-overtime/Early on in "Macbeth," the eponymous character famously muses about cases, bloody instructions, even-handed justice, and a poisoned chalice. [read post]
