Search for: "MERRIL LYNCH "
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16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
12 Aug 2009, 10:15 am
Readers will recall that many Merrill Lynch brokers were faced with the choice of remaining at Merrill and taking something less than one times trailing 12 to stay, or leaving Merrill and taking something more [read post]
9 Nov 2011, 1:04 pm
When Bank of America acquired Merrill Lynch in September 2008, it negotiated certain deal terms affecting deferred compensation for the financial advisors. [read post]
25 Sep 2012, 9:06 am
Such is not new at Merrill Lynch, and this is not the first time Merrill Lynch was found to have failed to report customer complaint information. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Merkel (Merkel), in August 2017, was terminated by his employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) after the firm alleged that Merkel violated firm policy relating to selling away. [read post]
11 May 2020, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Juan Barreras (Barreras), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) has been subject to at least five customer complaints during the course of his career. [read post]
17 Jul 2008, 10:32 am
Merrill Lynch, the financially ailing investment brokerage, has terminated talks with the Port Authority and the developer Larry A. [read post]
8 Sep 2009, 2:16 pm
Ohio Attorney General Richard Cordray has announced that the $475 million settlement between the State Teachers Retirement System (STRS Ohio) and Merrill Lynch, first reported in January 2009, has been finalized. [read post]
6 Nov 2006, 7:44 am
Merrill Lynch’s private-equity arm received a request for information from the Justice Department as part of its informal inquiry into potential anticompetitive behavior in the private-equity world, The Wall Street Journal reported, citing undisclosed sources. [read post]
17 May 2016, 7:47 am
Yesterday, the Supreme Court issued a unanimous decision in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
29 Jun 2021, 3:49 am
Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers: The transactions forced clients to pay millions of dollars in needless fees, according to Finra.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
25 Jan 2012, 1:47 pm
FINRA fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses. [read post]
18 Mar 2009, 2:34 pm
STATEMENT FROM ATTORNEY GENERAL CUOMO ON COURT DECISION TO FORCE BANK OF AMERICA AND MERRILL LYNCH TO TURN OVER LIST OF BONUS RECIPIENTS "Today's decision in the Bank of America case is a victory for taxpayers. [read post]
17 Mar 2010, 2:46 am
“A former proprietary trader at Merrill Lynch, who mispriced trades in a desperate bid to cover up some of the $456m (£300m) of losses he had racked up, was banned from working in the industry for at least five years. [read post]
14 Nov 2007, 9:30 am
Thain, the chairman and chief executive of NYSE Euronext and a former co-president of Goldman Sachs, has been selected to be the next chief executive of Merrill Lynch, a person briefed on the situation told The New York Times. [read post]
17 Oct 2018, 6:00 am
"Merrill's 15,015 financial advisers can expect to see such a compensation plan next year, said a senior Merrill Lynch executive. [read post]
17 Oct 2018, 6:00 am
"Merrill's 15,015 financial advisers can expect to see such a compensation plan next year, said a senior Merrill Lynch executive. [read post]
23 Jun 2016, 7:15 am
Without admitting or denying the findings, Merrill Lynch agreed to cease and desist from committing or causing any similar future violations and pay a penalty of $10 million. [read post]
3 Apr 2023, 1:10 pm
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed foreign exchange fees for transfers to or from their accounts. [read post]
