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28 Sep 2015, 8:59 am
FINRA’s investigation appears to stem from Highfill’s termination from Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in May 2015. [read post]
5 Sep 2008, 3:35 pm
Lehman, Deutsche Bank and Merrill sold more than $8.8 billion of these securities, and losses have been steep, as much as 80% or more, according to the article. [read post]
2 Sep 2011, 3:14 pm
Merrill Lynch & Co. / First Franklin Financial Corp. [read post]
2 Sep 2015, 7:38 am
Cheng first entered the securities industry in 2005 as a broker with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) with the title of “First Vice President” and worked there until he was discharged in 2015. [read post]
23 Dec 2009, 3:45 pm
First, the announcement that Merrill Corp. is going to to partnering with the University of Alabama on an ESI course, and the second that the latest Kroll OnTrack survey shows a steady increase in the number of people who believe eDiscovery strategy is not just a legal department responsibility, but that it is shared with IT, if not the CIO’s area outright. [read post]
8 Aug 2008, 7:39 pm
Citigroup Global, Merrill Lynch, Wachovia Securities, UBS, Charles Schwab, and Morgan Stanley have volunteered to participate in a Financial Industry Regulatory Authority pilot program that would allow investors to have their cases heard by a panel consisting of three public arbitrators. [read post]
3 Jan 2020, 1:37 pm
Merrill Lynch found the claim to be without merit and said that the customer was mailed account statements and trade confirmation notices. [read post]
9 Feb 2007, 11:59 am
Multi-billion dollar (and down) extortion edition: Merrill Lynch and CSFB appeal extortionate Enron class-action certification. [read post]
7 Nov 2017, 2:02 pm
Firms such as Morgan Stanley and Merrill Lynch signed on to the Protocol in 2004, in an effort to limit costly litigation or arbitration claims that can arise when brokers transition to new firms, or set up arrangements such as a Registered Investment Advisor (“RIA”). [read post]
17 Apr 2008, 2:44 pm
Earlier this week, New York Attorney General Andrew Cuomo subpoenaed some of Wall Street's biggest financial institutions including UBS, Merrill Lynch and Goldman Sachs as part of an investigation into auction-rate securities. [read post]
23 Mar 2015, 6:58 pm
Career Reinventions and the New Retirement Workscape, A Merrill Lynch Retirement Study conducted in partnership with Age Wave. [read post]
8 Apr 2013, 4:45 am
Merrill Lynch surveyed a sampling of individuals who are in possession of at least $250,000 of investment assets over a period of time. [read post]
8 Apr 2013, 4:45 am
Merrill Lynch surveyed a sampling of individuals who are in possession of at least $250,000 of investment assets over a period of time. [read post]
5 Oct 2012, 8:23 am
Merrill Lynch and Damasco v. [read post]
23 Jan 2023, 12:10 pm
Austin Sarat, Lawrence Douglas, and Martha Merrill Umphrey (University of Massachusetts Press, 2022), 62-77) on SSRN. [read post]
9 Jan 2012, 11:04 am
InvestmentNews.com reports today that brokers at Merrill Lynch are being encouraged, by way of changes to the firm's compensation plan, to focus their attention on larger accounts. [read post]
9 Oct 2014, 8:21 am
District Court for the Northern District of Texas granted a motion to dismiss plaintiff Town North Bank’s amended complaint against UBS, Morgan Stanley, Merrill Lynch, and J.P. [read post]
5 Jul 2012, 3:59 am
Valerie Katz of Above the Law shares the story of two men who used to serve as in-house counsel for Merrill Lynch. [read post]
1 Jul 2009, 7:45 pm
The New York Post reports that junk bond bets have soared to their best comeback since the 1980s Year over year returns for May were purportedly 25.4%, citing at Bank of America Merrill Lynch report. [read post]
28 Aug 2009, 6:33 am
So does Bank of America, scarred by its acquisition of Merrill Lynch and partly government-owned as a result of the crisis, as does Wells Fargo, the biggest West Coast bank. [read post]
