Search for: "Matter of Merrill"
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25 Nov 2007, 9:51 am
A story for another day.see IPBiz challenges Noel Sheppard on quote lifting and the Merrill matter [read post]
11 Jan 2022, 7:40 am
Two Merrill Lynch Brokers Stole More Than $6M from 13 Clients In December 2021, the Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch in two separate matters. [read post]
19 Aug 2010, 1:47 am
Bank of America Merrill Lynch will pay $2.5 million in restitution and fines after it failed to provide discounts to customers on a type of securities sale, the brokerage industry's primary regulator said Wednesday. [read post]
16 Jul 2008, 8:43 pm
Bloomberg, for about $4.5 billion, people briefed on the matter said Wednesday afternoon. [read post]
10 Jul 2008, 12:39 pm
Merrill Lynch will determine how much of its stakes in BlackRock and Bloomberg LP to sell based on the size of its second-quarter loss, a person briefed on the matter said Wednesday, Reuters reported. [read post]
20 Mar 2009, 4:30 am
Bank of America's chief accounting officer, Neil Cotty, was influential in determining writedowns for complex debt instruments and leveraged loans among other assets at Merrill, people familiar with the matter told the newspaper. [read post]
14 May 2008, 9:30 am
Beginning next month, 20 percent of the stocks currently rated by Merrill’s analysts will need to carry an “underperform” rating — no matter what. [read post]
12 Dec 2014, 6:35 am
We have decades of experience in securities litigation matters, including SEC and FINRA investigations, insider trading cases, securities arbitrations and class actions, nationwide. [read post]
22 Jun 2012, 7:48 am
The Florida securities lawyers at McCabe Rabin, P.A. represent investors nationwide in FINRA arbitration matters. [read post]
10 Mar 2009, 4:09 am
Merrill Lynch offered millions in guaranteed bonuses to lure ten Latin American investment bankers away from UBS last spring, giving one, Alexandre Bettamio at least $7 million, The Wall Street Journal reported, citing people familiar with the matter. [read post]
3 Nov 2021, 7:14 am
Miller Stern Lawyers is currently investigating matters pertaining to early rollovers of Unit Investment Trusts and other such practices. [read post]
5 Apr 2012, 6:53 am
The Florida securities lawyers at McCabe Rabin, P.A. represent investors nationwide in FINRA arbitration matters. [read post]
2 Nov 2007, 5:24 am
Citing sources close to the matter, The Wall Street Journal reported that the deals are likely to be examined by the Securities and Exchange Commission, [...] [read post]
25 May 2012, 8:42 am
In the Matter of the FINRA Arbitration Between Nicole Alise Cannava, Claimant, v. [read post]
17 Jun 2014, 11:27 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions and representation of investors, financial professionals and investment firms, nationwide in litigation and FINRA arbitration proceedings. [read post]
18 Nov 2007, 2:52 am
In a post about the Merrill matter titled Was Former Journalism Professor Fired for Plagiarism or Sexism? [read post]
3 Jan 2015, 12:01 pm
The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. [read post]
1 Mar 2019, 2:29 pm
Garcia filed fake childcare reimbursement expenses to Merrill Lynch, through the Merrill Lynch Business Development Account (“BDA”). [read post]
25 Jan 2012, 12:23 pm
Instead, the terms of the promissory note called for disputes to be sent into New York state court, but New York state law limits the ability of defendants to assert counterclaims in such actions, according to the Letter of Acceptance, Waiver andamp; Consent (AWC) submitted by Merrill Lynch to settle the matter. [read post]
26 Jan 2012, 6:54 am
According to FINRA, in late 2009 when Merrill Lynch filed more than 90 New York state court actions against its former associated persons in proceedings to collect monies due under the notes, it violating the FINRA rules requiring arbitration of employment matters. [read post]
