Search for: "Merrill Lynch & Co., Inc."
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7 Jul 2010, 5:00 am
In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161 (Tex. [read post]
7 Nov 2008, 6:45 am
For example, in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS Securities … [read post]
16 Aug 2010, 9:17 pm
It was during this time that the fund sold credit default swaps on beleaguered companies, including Tribune Co., Lehman Brothers Holdings Inc., General Motors Corp, and American International Group Inc. [read post]
6 Jul 2011, 10:11 pm
Allstate has already sued several other brokerage firms for MBS fraud including: • Merrill Lynch (a Bank of America unit) • Countrywide (also a Bank of America units) • Citigroup Inc. [read post]
25 Jan 2018, 6:53 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan… [read post]
1 Jun 2022, 9:16 am
According to FINRA Disciplinary actions for May 2022, 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 Maria Acevedo Merrill Lynch, Pierce, Fenner & Smith Incorporated Alicia Chester BBVA Securities Inc. [read post]
7 Aug 2009, 3:58 am
Bank of America, SD NY, Litigation Release No. 21164.The SEC charged the bank with making materially false statements in a joint proxy statement that it filed with Merrill Lynch & Co., Inc. in connection with the bank's $50 billion acquisition of Merrill Lynch. [read post]
21 Aug 2018, 5:17 am
Rawson Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, NA Anteneh A. [read post]
1 Jun 2009, 9:10 pm
Broker-dealers that have reached preliminary settlements with federal and state regulators over their misrepresentation of ARS to clients include Citigroup Inc., Deutsche Bank AG, Credit Suisse Group, JP Morgan Chase & Co, Goldman Sachs Group Inc., Merrill Lynch & Co. [read post]
26 Mar 2011, 11:25 am
Madoff Investment Securities Inc., Bear Stearns and Co, and Stanford Financial Group. [read post]
16 Jan 2015, 12:01 pm
No.3 Bank of America Merrill Lynch fined for $8 millionReason for Fine: Failing to waive mutual fund sales charges for certain charities and retirement accounts. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital … [read post]
16 Dec 2011, 10:54 pm
Co. [read post]
20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 2020, 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 Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith… [read post]
3 Jan 2019, 5:54 am
Baird & Co, Inc Schreiner, Phillip Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith, Inc Sterr, Margaret M Holdings Securities, Inc Catalyst Solutions Group Suhar, Charles The Huntington Investment Company LPL Financial LLC Swords, Zachary Farmers Financial Solutions, LLC Valenzuela, Francisco Morgan Stanley Merrill… [read post]
24 Sep 2008, 1:54 pm
The good news is that trust assets managed by a corporate fiduciary such as Merrill Lynch & Co. don't go on the company's balance sheet. [read post]
25 Sep 2008, 4:43 am
Not surprisingly, financial brands Merrill Lynch & Co., Inc. [read post]
18 Dec 2018, 11:03 am
Baird & Co Inc. [read post]
