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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]
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]
16 Dec 2009, 5:25 am
Merrill [read post]
12 Nov 2008, 2:04 pm
As New Jersey recruiter Mindy Diamond, said, "It will give a lot of Merrill advisors comfort," particularly if Merrill's storied culture erodes under the new ownership by a commercial bank. [read post]
4 Apr 2007, 7:17 am
(The opinion specifically cited the Nigerian Barge case as an example of Merrill’s allegedly fraudulent conduct.) [read post]
15 Sep 2008, 10:47 am
Regulators Reach Out to Lehman Account HoldersDeal Journal: Winners and Losers of the Lehman-Merrill WeekendNews Tracker: Latest updates on Monday's developmentsComplete Coverage: Crisis on Wall StreetArnold Kling shares thoughts here and here.Alex Tabarrok adds:Thanks goodness we bailed out Bear Stearns back in March if we hadn't we might have lost Fannie Mae and Freddie Mac, Lehman Brothers, Merrill Lynch and who knows what else. [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]
18 Mar 2010, 10:17 am
Merrill was paid $1.4 million in 2008, according to the article. [read post]
27 Jan 2009, 1:57 pm
The newest revelations about Merrill Lynch are a case in point. [read post]
22 Oct 2019, 1:34 pm
“Stifel is becoming the firm of choice for Merrill advisors looking for the halcyon days of what once was Mother Merrill. [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]
23 Jul 2021, 12:55 pm
Under the BrokerCheck heading "Employment Separation After Allegations," both Merrill Lynch and BofA Securities/Merrill Lynch reported that Singh had been "discharged" on September 20, 2019, based upon allegations of "Conduct involving the use of a corporate credit card inconsistent with firm policy. [read post]
17 May 2019, 9:41 am
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4605/merrill-lynch-finra/In a recent FINRA public customer arbitration against Merrill Lynch, the FINRA Arbitration Panel dismissed the claims as being filed too late. [read post]
5 Feb 2010, 1:00 pm
The complaint alleges that BOA “intentionally failed to disclose massive losses at Merrill so that shareholders would vote to approve the merger. [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]
8 Aug 2008, 8:47 pm
This comes a day after Citigroup and Merrill Lynch said they would buy back almost $20 billion of such securities between them. [read post]
20 Aug 2018, 1:40 pm
Investors were not harmed, but Merrill had a breakdown in procedure. [read post]
