Search for: "Merrill Lynch"
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21 May 2012, 5:08 pm
The Wall Street Journal is reporting that Merrill Lynch is in talks with former Merrill brokers concerning disputes over unvested stock in deferred compensation plans that the brokers had at Merrill. [read post]
21 May 2012, 5:08 pm
The Wall Street Journal is reporting that Merrill Lynch is in talks with former Merrill brokers concerning disputes over unvested stock in deferred compensation plans that the brokers had at Merrill. [read post]
11 Aug 2016, 12:00 am
FINRA determined that Merrill Lynch failed to disclose quarterly transaction costs of 1.5% per quarter. [read post]
23 Feb 2010, 7:21 am
Severio admitted to the court that he had convinced 31 long-term clients of Merrill Lynch to withdraw their money from their Merrill Lynch accounts and invest their money in other opportunities outside of Merrill Lynch. [read post]
12 Nov 2008, 1:15 pm
The New York Times had a piece in the weekend edition on the fall of Merrill Lynch. [read post]
28 Jul 2023, 11:29 am
The claim alleges that Merrill Lynch unsuitably invested its client in a high-risk trading strategy. [read post]
11 Jun 2012, 4:13 pm
More than 3,300 brokers left Merrill Lynch after its September 2008 merger agreement with Bank of America. [read post]
6 Jun 2012, 5:00 am
In re Merrill Lynch Auction Rate Securities Litigation arose out of an action by an investor, Louisiana Pacific Corporation (“plaintiff”) filed suit against underwriters Merrill Lynch & Co. and Merrill Lynch, Pierce, Fenner and Smith Inc. [read post]
2 Oct 2012, 7:09 pm
Now that the Supreme Court has refused to hear Merrill Lynch's appeal, the case will return to the trial court where it will be determined whether Merrill Lynch actually engaged in the racially discriminatory practices the class has alleged occurred. [read post]
17 Feb 2006, 7:35 am
[JURIST] Merrill Lynch [corporate website] said Friday it will pay $164 million to settle 23 class action lawsuits involving Merrill Lynch's research of internet companies in the 1990s. [read post]
15 Jun 2011, 7:29 am
The Securities and Exchange Commission is investigating Merrill Lynch over a collateralized debt obligation that it created for an Illinois Hedge Fund. [read post]
22 Jun 2018, 2:31 pm
The SEC alleged that Merrill Lynch created false reports; altered code to reconfigure FIX messaging systems; modified Transaction Cost Analysis reports and more to Merrill Lynch as the execution venue incorrectly. [read post]
22 Jun 2018, 2:31 pm
The SEC alleged that Merrill Lynch created false reports; altered code to reconfigure FIX messaging systems; modified Transaction Cost Analysis reports and more to Merrill Lynch as the execution venue incorrectly. [read post]
30 Jul 2009, 3:22 pm
The five Merrill Lynch brokers sanctioned by FINRA include: Kenneth C. [read post]
29 Jan 2007, 5:50 am
Merrill Lynch said Monday it would acquire the First Republic Bank, a bank that specializes in serving wealthy individuals, for $1.8 billion in cash and stock. [read post]
25 Jul 2023, 10:40 am
FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined and suspended former Merrill Lynch advisor Robert Gerstein over allegations of unsuitable short-term trading of mutual funds and other complex investment products. [read post]
17 Mar 2003, 3:03 pm
Simultaneous with the filing of the charges, the SEC accepted a settlement under which Merrill Lynch, without admitting or denying the allegations in the complaint, would pay [read post]
28 Jun 2021, 11:52 am
Iorio Altamirano LLP is investigating claims on behalf of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) customers who invested in Unit Investment Trusts (UITs). [read post]
29 Aug 2011, 11:12 am
Interesting timing of this new rumor - BofA may have to sell or spin off Merrill Lynch. [read post]
4 Mar 2015, 2:00 am
New York Times Deal Book, Merrill Lynch Hires Tax Expert From Credit Suisse: Bank of America Merrill Lynch has hired Lewis Steinberg, a senior banker from Credit Suisse, to serve as its in-house tax expert, the firm announced in an internal memorandum on Monday. [read post]
