Search for: "Merrill Lynch Financial Markets Inc. "
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26 Aug 2008, 3:14 pm
So far, Merrill Lynch & Co., Goldman Sachs Group, Deutsche Bank, Citigroup Inc., UBS Financial Services, Morgan Stanley, JPMorgan Chase & Co., and Wachovia Corp. have agreed to buy back frozen auction-rate securities from investors. [read post]
7 Nov 2008, 2:42 pm
The largest brokerages -- Merrill Lynch, Citigroup's Smith Barney and Morgan Stanley -- weren't big distributors of Lehman's notes because they mostly sell their own products, said a person with knowledge of the matter. [read post]
2 Jan 2018, 6:58 am
Previous registrations include Citigroup Global Markets Inc., Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, F&G Securities, Inc., and Diones & Company. [read post]
1 May 2008, 4:47 am
" Though he declined to certify a class against Clifford Chance, the judge did allow the case to proceed against other defendants, including Merrill Lynch and Deloitte. [read post]
21 Sep 2007, 2:16 am
Edwards, Bear Stearns, Merrill Lynch and 25 other initial public offering underwriters. [read post]
16 Jan 2008, 5:15 am
As the Fifth Circuit described: Plaintiffs allege that defendants Credit Suisse First Boston ("Credit Suisse"), Merrill Lynch & Company, Inc. [read post]
25 Mar 2009, 3:29 am
The 1.6 million-member California Public Employees' Retirement System and the 833,000-member California State Teachers' Retirement System alleged that Bank of America management misstated or withheld important details of Merrill Lynch's financial condition at the time bank shareholders voted on the merger. [read post]
28 Apr 2012, 8:50 pm
Allstate has also filed RMBS lawsuits against other financial firms, including Merrill Lynch (MER) units, Citigroup Inc. [read post]
11 Dec 2008, 5:41 pm
In both VCG and the other case lawyers are looking to, Merrill Lynch v. [read post]
3 Sep 2020, 8:21 am
Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Scott McVicker Market Wise Securities, inc. [read post]
2 Dec 2021, 7:03 am
His FINRA BrokerCheck profile indicates he was registered with the following firms during his career in the securities industry: 06/01/2009 – 09/03/2021, MORGAN STANLEY (CRD#:149777), EL PASO, TX 08/05/2008 – 06/01/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services … [read post]
7 Apr 2008, 12:26 pm
Other firms such as Merrill Lynch, Citigroup Inc. and Morgan Stanley have opted not to mark down customer portfolios even though many firms are marking down auction-rate securities in their own portfolios. [read post]
1 Dec 2011, 1:58 pm
Merrill Lynch Professional Clearing Corp. 63.7M Source: Securities Arbitration Commentator Inc. [read post]
6 Aug 2011, 5:02 pm
Instead, they contend that the funds were marketed and sold as high yielding, diversified, and conservative investments. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc… [read post]
25 Jul 2008, 7:17 pm
Morgan Securities, Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
13 Sep 2008, 12:15 pm
That leaves four US firms, Goldman Sachs, Merrill Lynch, Bear Stearns, Morgan Stanley, and Lehman Brothers (five if you count Credit Suisse First Boston). [read post]
17 Jan 2009, 6:37 am
The bank also received another $20 billion bailout from the government to assist the bank with its Merrill Lynch acquisition. [read post]
27 Feb 2008, 10:00 am
Therefore, it seems reasonable that by engaging in fraudulent transactions designed to manipulate financial statements and market valuations a company should expect to incur liability to investors relying on those statements and valuations. [read post]
