Search for: "Merrill Lynch Corporation"
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12 Aug 2015, 9:08 am
– $100,000 Merrill Lynch, Pierce, Fenner & Smith Incorporated – $500,000 Morgan Stanley & Co. [read post]
11 Aug 2015, 5:59 am
David StevensonCase Number: 15-cv-03528 (United States District Court for the District of New Jersey)Case Filed: May 26, 2015Qualifying Judgment/Order: May 29, 2015 6/30/15 9/28/15 2015-63 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Professional Clearing Corporation Administrative Proceeding File No.: 3-16567 Case Filed: June 1, 2015 Qualifying Judgment/Order: June 1, 2015 6/30/15 9/28/15 2015-62 SEC v. [read post]
28 Jul 2015, 8:18 am
Buck was terminated from Merrill Lynch on March 6, 2015, shocking colleagues. [read post]
24 Jul 2015, 6:01 am
As we previously reported, (See Top Merrill Lynch Broker Thomas Buck Terminated Under Unusual Circumstances) news sources have been investigating the termination of financial advisor Thomas Buck (Buck) and his daughter Ann Buck by Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), now known as Bank of America, NA (Bank of America) under circumstances that some would consider unusual. [read post]
8 Jul 2015, 2:29 pm
Later in April, a former Merrill Lynch and Smith Barney investment adviser already serving a federal prison term for investment fraud pleaded guilty to additional fraud charges in connection with a nearly two-decade-long scheme to defraud clients of hundreds of thousands of dollars. [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 Sterne Agee & Leach… [read post]
4 Jun 2015, 12:05 pm
By Jacquelyn LumbThe SEC’s Division of Corporation Finance has determined that Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation have made a showing of good cause for why it is not necessary to deny their reliance on Rule 506 of Regulation D based on their violation of Regulation SHO. [read post]
25 Apr 2015, 4:21 am
., Civil Action No. 1:10-CV-01277 Notice of Covered Action 2011-33In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File No. 3-14204 Notice of Covered Action 2011-101In the Matter of Navistar International Corporation, Daniel C. [read post]
5 Dec 2014, 3:53 am
(Options Backdating) (2009) $115 million AIG (2002 lawsuit) (2008) $110 million El Paso-Kinder Morgan (merger related) (2012) $62.5 million Bank of America (Merrill Lynch Acquisition) (2012) I suspect strongly that there have been settlements with values between the $62.5 Bank of America settlement and the $110 million El Paso-Kinder Morgan settlement. [read post]
3 Dec 2014, 3:33 pm
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) (successor by merger to Banc of America Securities LLC (BAS)) (collectively, the respondents) are wholly-owned subsidiaries of Bank of America Corporation (BAC) that entered into a settlement with the SEC in connection with the with allegations made in a complaint that the SEC filed on August 6, 2013, in federal district court. [read post]
23 Oct 2014, 4:18 am
Merrill Lynch recommends an investment strategy to its clients based on the growing economic clout of plutocrats, Singapore Airlines is now selling $18,400 first class cabin tickets, and observers think Apple is going to start selling a $10,000 watch. [read post]
22 Aug 2014, 1:34 am
This practice led one Merrill Lynch consultant to “wonder why we have due diligence performed” if Merrill Lynch was going to securitize the loans “regardless of issues. [read post]
21 Aug 2014, 4:35 pm
“Attorney General Eric Holder and Associate Attorney General Tony West announced today that the Department of Justice has reached a $16.65 billion settlement with Bank of America Corporation – the largest civil settlement with a single entity in American history ¬— to resolve federal and state claims against Bank of America and its former and current subsidiaries, including Countrywide Financial Corporation and Merrill Lynch. [read post]
Feds Announce Record Settlement With Bank Of America, Creating Tax Fund And Potential Tax Deductions
21 Aug 2014, 2:24 pm
Bank of America Corporation (BoAC) will pay $16.65 billion to settle claims against Bank of America and its related parties (including including Countrywide Financial Corporation and Merrill Lynch). [read post]
3 Jul 2014, 7:22 am
The process covers the corporate governance framework and practices relating to corporate risk management of the 26 jurisdictions that participate in the OECD Corporate Governance Committee. [read post]
23 Jun 2014, 11:31 am
According to Schrader’s FINRA Broker Report, he was employed by Merrill Lynch from November 2005 through April 2009 and Western International Securities from March 2009 through February 2014. [read post]
23 Jun 2014, 10:46 am
The plaintiff-trusts allege that Merrill Lynch violated its contractual obligations to repurchase loans acquired from the now-bankrupt originator ResMae Mortgage Corporation. [read post]
20 Jun 2014, 5:00 am
Bies serves as a non-management director of Merrill Lynch International (MLI), a United Kingdom subsidiary of Bank of America. [read post]
27 May 2014, 5:34 am
From November 2005, until March 2009, Schrader was associated with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
1 May 2014, 7:01 am
According to a correlation analysis, asset classes such as U.S. high-yield corporates, represented by the BofA Merrill Lynch US High Yield Constrained Index, had a correlation of only 0.26 to the broadly diversified Barclays U.S. [read post]
