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31 Mar 2020, 12:38 pm
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
14 Nov 2008, 4:29 pm
 Merrill Lynch brokers and staff are highly paid. [read post]
19 Aug 2008, 3:02 pm
A group of Merrill Lynch entities (Merrill Lynch) recently filed a motion to dismiss a securities class action pending in United States District Court for the Southern District of New York. [read post]
27 Jul 2022, 2:38 pm
Once Merrill Lynch found out otherwise, in July 2020, Merrill Lynch fired him. [read post]
19 Mar 2012, 11:07 am
The protesters, Samuel Dukore and Kelly Canavan, set up tents outside Merrill Lynch's office as part of a demonstration about wealth disparity in the United States. [read post]
14 May 2015, 2:56 pm
According to AdvisorHUB.com, Bank of America Merrill Lynch fired two experienced financial advisers in Colorado.Joseph Yanofsky, 57, and Brooke Clements, 42, who worked as the Yanofsky Group, an advisory team at Merrill Lynch’s office in Colorado, were terminated by the firm. [read post]
1 May 2024, 1:02 pm
Ajamie LLP filed a putative class action lawsuit against Merrill Lynch on behalf of a former broker from California. [read post]
15 Sep 2008, 3:06 pm
., has agreed to acquire Merrill Lynch for approximately $50 billion. [read post]
10 Aug 2012, 2:26 pm
The 65-count indictment alleges that between 2008 and 2010, while working as a financial advisor at Merrill Lynch, Lanier transmitted fraudulent letters of authorization bearing forged client signatures to Merrill Lynch client associates who were responsible for processing wire transfers of client funds. [read post]
10 Aug 2012, 2:26 pm
The 65-count indictment alleges that between 2008 and 2010, while working as a financial advisor at Merrill Lynch, Lanier transmitted fraudulent letters of authorization bearing forged client signatures to Merrill Lynch client associates who were responsible for processing wire transfers of client funds. [read post]
14 Mar 2012, 3:11 am
Merrill Lynch, No. 11-3639, (7th Cir. [read post]
5 Jul 2009, 5:19 pm
House of Representatives Committee on Oversight and Governnment Reform is conducting a series of hearings to examine Bank of America's acquisition of Merrill Lynch, which started as an unasisted purchase, but subsequently required an extra $20 Billion in... [read post]
5 Dec 2008, 10:32 pm
A spokesperson for Merrill Lynch refused to provide details. [read post]
29 Sep 2022, 12:45 pm
Crabtree of Merrill Lynch Allegedly Defrauded his Advisory Client appeared first on The White Law Group. [read post]
21 Jun 2018, 8:26 am
Merrill Lynch called this practice “masking. [read post]
22 Mar 2019, 8:55 am
The SEC’s order found that Merrill Lynch improperly borrowed pre-released ADRs from other brokers when Merrill Lynch should have known that those brokers – middlemen who obtained pre-released ADRs from depositaries – did not own the foreign shares needed to support those ADRs. [read post]
23 Nov 2020, 2:14 pm
The post Omar Hammad-Randolph, Merrill Lynch Broker, Suspended For Borrowing From Client appeared first on Securities Arbitration Lawyers Blog. [read post]
30 Jan 2009, 5:59 am
The reductions follow Bank of America's acquisition of Merrill Lynch in late September. [read post]
26 Jan 2012, 8:40 am
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch’s branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme. [read post]
