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11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
26 Mar 2009, 10:51 pm
The suit involves allegations that the shareholders lacked complete information regarding the merger between Bank of America and Merrill Lynch. [read post]
18 Dec 2017, 9:28 am
In a recent investigation into the plummeting of bond funds largely made up of Puerto Rico government bonds, CNBC revealed that broker-dealers on the Island, such as UBS, Santander Securities, Popular Securities, and Merrill Lynch, were less than “forthcoming about the extent of the risks of those bond funds” to “both its clients and brokers…. [read post]
18 Jun 2007, 8:05 am
The Institute for Interactive Journalism at the University of Maryland’s Philip Merrill College of Journalism is looking to fill the new position of Assistant Director, a key position in a small grant-funded center. [read post]
19 Dec 2017, 4:32 pm
Merrill “It can seem like lobbyists run Washington from behind the scenes. [read post]
26 Mar 2013, 7:20 am
On March 14, several Prudential entities filed suit in the United States District Court for the District of New Jersey against several Bank of America and Merrill Lynch entities in connection with Prudential’s investments in more than $2 billion in RMBS sold by the Defendants. [read post]
27 Jun 2011, 10:34 pm
., appears to be the market leader (as it was when I was in school), but I’ve also been looking at Merrill and Smith. [read post]
15 Dec 2020, 10:01 am
Infinity Financial Services, an Oakland, CA-based firm founded 13 years ago by a former Merrill Lynch broker, failed to contact former employers and had no procedures for conducting searches of public records, according to an “acceptance, waiver and consent letter” it signed with Finra. [read post]
29 Jun 2018, 7:48 am
Previous registrations include Merrill Lynch and Barclays Capital. [read post]
31 May 2019, 7:42 am
Merrill 18-1362 Issue: Whether, and under what circumstances, a candidate can continue to challenge a ballot-access rule after the election over which he originally sued has passed. [read post]
20 Aug 2018, 12:51 pm
(CRD #16361), also of Clearwater, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of New York, NY. [read post]
21 Jul 2020, 12:05 pm
Secretary Merrill denies that the law is discriminatory, arguing that Alabama accepts so many types of acceptable IDs that most Alabamians already possess photo ID and voters who do not have one can obtain one easily.Secretary Merrill filed a motion for summary judgment on all counts, while Plaintiffs moved for partial summary judgment on one claim and one issue.1 The district court granted Secretary Merrill’s motion and Plaintiffs-Appellants timely appealed.Because… [read post]
24 Jun 2014, 3:01 am
Based on this evidence Nordic maintained that, as in In Merrill, Lynch, Pierce, Fenner & Smith, Inc., 828 F.sd 1567 (Fed. [read post]
16 Nov 2012, 9:12 pm
After Carroll filed her complaint, Merrill Lynch fired her for her conduct on the call, and she escalated the situation by filing suit against the Kelliher’s and Merrill Lynch. [read post]
15 Jan 2023, 10:04 am
First, brother’s wife is a co-owner of the Merrill Lynch account. [read post]
7 Feb 2022, 10:35 pm
[Merrill v. [read post]
16 Oct 2009, 5:19 am
According to the allegations underlying the class action lawsuits, “Merrill Lynch failed to disclose that (1) ARS were not cash alternatives similar to money market funds, and (2) the ARS sold by Merrill Lynch were only liquid because, at the time of sale, Merrill Lynch and other broker-dealers artificially supported and manipulated the market to maintain the appearance of liquidity and stability. [read post]
21 Dec 2015, 5:00 am
Morgan Merrill Using Robots, Not Brokers Merrill Lowers Broker Compensation [read post]
26 Feb 2019, 7:42 am
” (https://www.investmentnews.com/article/20170926/FREE/170929952/finra-bars-former-morgan-stanley-manager-over-expense-reports)In late 2017, “a 21-year veteran Merrill Lynch broker managing director…accepted a one-year suspension from the securities industry and a $10,000 fine for ‘violating high standards of commercial honor by improperly using Merrill funds in connection with expense reports’” … [read post]
17 Sep 2008, 3:11 pm
The New York Daily News published an article by Kimberly Palmer on Monday regarding the effect on mortgage rates due to the failure of Lehman Brothers and the sale of Merrill Lynch to Bank of America. [read post]
