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29 Feb 2016, 6:40 am
In November 2015, Sands’ then brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) terminated Sands for cause alleging that the broker engaged in conduct inconsistent with the firm’s selling away policies. [read post]
22 Feb 2016, 4:36 pm
After attending the PLUS D&O Symposium some years ago, several colleagues at Partner Re thought it might be worthwhile to provide D&O insurance professionals with historical overview of the evolution of Directors and Officers insurance (D&O) in the US marketplace. [read post]
18 Feb 2016, 7:32 am
In 2003, the former Merrill Lynch tech stock analyst paid $4 million in fines and disgorgement and was permanently barred from the industry. [read post]
16 Feb 2016, 12:06 pm
While investors have suffered alarming losses in the oil and natural gas related investments, broker-dealers such as Citigroup, Barclays, Wells Fargo, Bank of America Merrill Lynch, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and JP Morgan have made approximately $1.1 billion in fees and commissions from selling these products. [read post]
9 Feb 2016, 8:47 am
Malecki Law is interested in hearing from investors who purchased structured notes issued by well-known financial institutions, including Bank of America Merrill Lynch (NYSE: BAC), Citigroup (NYSE: C), Credit Suisse (NYSE: CS), Goldman Sachs (NYSE: GS), JP Morgan Chase (NYSE: JPM), Morgan Stanley (NYSE: MS), UBS (NYSE: UBS), and Barclays (NYSE: BCS). [read post]
5 Feb 2016, 1:38 pm
It has been reported recently that brokers from Credit Suisse, Deutsche Bank and potentially Merrill Lynch are being heavily recruited to leave and join new broker-dealers. [read post]
5 Feb 2016, 1:25 pm
If the Commission does not adopt the requirement, the adviser asked that it at least provide guidance to companies regarding voluntary reporting on pay equity to their investors.Pax Ellevate is the adviser to Pax Ellevate Global Women’s Index Fund, and is chaired by Sally Krawcheck, the former CFO of Citigroup who also held management positions at BofA Merrill Lynch and Smith Barney. [read post]
1 Feb 2016, 10:15 am
On Friday, January 22, 2016, eleven banks, including Merrill Lynch, RBS, and Barclays, agreed to settle claims brought by the Commonwealth of Virginia in a 2014 action alleging misrepresentations as to the nature, quality, characteristics, and risk profile of RMBS certificates. [read post]
26 Jan 2016, 11:40 am
According to BrokerCheck, Lawrence was a registered representative of Merrill Lynch from 04/2003 – 06/2008, Oppenheimer & CO from 06/2008 – 07/2011, and Southwest Securities 08/2011 – 12/2013. [read post]
26 Jan 2016, 8:07 am
For an eighteen year period, 1998 through 2015, he found that while Wall Street analysts from firms such as Merrill Lynch, Morgan Stanley, and UBS predicted an up year more than 95% of the time, the stock market was up only 73% of the time. [read post]
26 Jan 2016, 8:07 am
For an eighteen year period, 1998 through 2015, he found that while Wall Street analysts from firms such as Merrill Lynch, Morgan Stanley, and UBS predicted an up year more than 95% of the time, the stock market was up only 73% of the time. [read post]
25 Jan 2016, 1:26 pm
This article was originally posted on Stock Market Loss Former Merrill Lynch broker Thomas J. [read post]
25 Jan 2016, 1:26 pm
This article was originally posted on Stock Market Loss Former Merrill Lynch broker Thomas J. [read post]
22 Jan 2016, 6:55 am
Since 2008 Boukamp has been associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated out of the firm’s Bloomfield Hills, Mississippi office location. [read post]
21 Jan 2016, 6:59 am
Merrill, Lynch, Pierce, Fenner & Smith, Inc., 903 F.2d 176, 179 (2d Cir. 1990). [read post]
21 Jan 2016, 6:59 am
Merrill, Lynch, Pierce, Fenner & Smith, Inc., 903 F.2d 176, 179 (2d Cir. 1990). [read post]
14 Jan 2016, 1:23 pm
Gold has also been registered with Merrill Lynch in Florida, Advest in Connecticut, and Prudential in New York City. [read post]
3 Jan 2016, 4:32 am
From August 2009 until December 2013, Giusti was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
29 Dec 2015, 1:51 pm
(Bloomberg) — Bank of America Corp. will post a $600 million pretax writedown in the fourth quarter as it redeems $2 billion of trust preferred securities tied to its 2009 acquisition of Merrill Lynch. [read post]
28 Dec 2015, 5:49 am
The no-action relief granted by the Board is similar to the practice in the brokerage industry that has been codified in FINRA Rule 2040 (b) in which, prior to that date, was sanctioned by a FINRA no-action letter issued to Merrill Lynch in March 2012. [read post]
