Search for: "Merrill Lynch Business Financial Services, Inc."
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19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader Over… [read post]
21 Oct 2011, 4:59 pm
Financial services firms Barclays Capital, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Morgan Stanley & Co., Inc., (the Firms) sued news aggregator (pdf) Theflyonthewall.com (Fly) for copyright infringement and for committing the New York state law tort of “hot news” misappropriation. [read post]
1 Sep 2011, 4:15 pm
Mark Andrew Sibert, formerly with Uvest Financial Services Group, Inc. in San Diego, CA, was barred from association with any FINRA member in connection with findings that he engaged in private securities transactions without approval from Uvest and solicited his firm's customers to invest in his company, which was supposed to raise money to invest in real estate and gold-mining. [read post]
17 Aug 2011, 2:00 am
and that [Bank of America Merrill Lynch][the Board’s financial advisor] and [its] affiliates have in the past provided, currently are providing, and in the future may provide investment banking, commercial banking and other financial services to Citigroup, Inc. . . . and certain of its affiliate and affiliates of [CVCI] . . . , and have received or in the future may receive compensation for rendering these services . . . [read post]
11 Mar 2011, 2:28 pm
Heightening concerns for some of them: Far fewer newly issued muni-bonds are insured now—6.2%, versus 57% in 2005, according to Bank of America Merrill Lynch. [read post]
26 Jan 2011, 5:39 am
Harris Named Managing Director for Stroz Friedberg’s Dallas Office - http://yhoo.it/haneAn (PR Newswire) D4 Added as New E-Discovery Partner of USLAW NETWORK – http://tinyurl.com/4ahdlla (PR) DTI Promotes EED Senior Consultant Jeffrey Jacobs to Associate General Counsel - http://tinyurl.com/4tqfn7o (PRLog) EntropySoft signs OEM agreement for Additional Connectivity for eDiscovery Platform - http://bit.ly/e24F5T (PR Log) Experts From Integreon to Speak at LegalTech New York –… [read post]
11 Jan 2011, 8:36 am
’s Bank of America Merrill Lynch, Citigroup Inc., Goldman Sachs Group Inc., J.P. [read post]
17 Dec 2010, 8:46 am
By the end of 2007, we would all start hearing the surreal amounts of write-downs being taken by Merrill Lynch and Citibank… and the rest would soon join in. [read post]
5 Dec 2010, 4:00 am
At Time Inc. she was the assistant to the Chairman of the Board. [read post]
13 Oct 2010, 4:20 pm
” MANDELMAN, INC Corporate Name: Mandelman, Inc. [read post]
11 Aug 2010, 8:02 am
Bank of America bought Merrill Lynch & Co. and Countrywide as those two companies, with nearly $1 trillion in combined assets, were sinking. [read post]
2 Jun 2010, 4:12 am
Merrill Lynch, now part of Bank of America, doesn’t have A single location to call. [read post]
26 May 2010, 7:02 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
18 May 2010, 3:02 pm
Another a $1,000-a-plate fundraiser for Bob Corker (Tennessee, Republican), a Senate Banking Committee member, is being hosted by Tim Locke, a lobbyist for Bank of America, which owns Merrill Lynch. [read post]
10 May 2010, 11:30 pm
There is also an increased risk in a downturn that counterparties will default, or seek to escape performance, as transaction costs rise with the increased price of services and materials, and the scarcity of credit. [read post]
3 May 2010, 1:37 pm
’” Id.; quoting Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
6 Apr 2010, 1:58 am
" Merrill Lynch Auction Rate Securities Litigation: In a March 31, 2010 ruling (here), Judge Loretta Preska granted the motion of defendants to dismiss the auction rate securities litigation that had been filed against Merrill Lynch and related entities. [read post]
2 Apr 2010, 1:18 pm
The plaintiffs in the case were the financial services firms Barclays Capital, Merrill Lynch, and Morgan Stanley. [read post]
24 Mar 2010, 9:53 pm
After leaving Merrill Lynch in mid-1999, he served as National Finance Chair for U.S. [read post]
1 Feb 2010, 6:36 am
The five units will be as follows: The Asset Management Unit to focus on investment advisers, investment companies, hedge funds and private equity funds; The Market Abuse Unit to focus on large-scale market abuses and complex manipulation schemes by institutional traders, market professionals and others; The Structured and New Products Unit to focus on complex derivatives and financial products, such as credit default swaps, collateralized debt obligations and other securitized products;… [read post]
