Search for: "Merrill Lynch"
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7 Oct 2011, 5:00 am
Lewis paid too much for Merrill Lynch"). [read post]
27 Aug 2018, 10:22 am
He was most recently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ridgeland, MS. [read post]
19 Feb 2020, 7:05 am
Fired Merrill Lynch Broker Barred By FINRA Indefinitely If you were an investor who sustained losses while working with Ma Rosa Linan Abrego, contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
25 Jan 2012, 12:21 pm
The Financial Industry Regulatory Authority sanctioned Merrill Lynch for requiring former brokers to settle disputes over "retention bonuses" in New York State court instead of an authority arbitration panel. [read post]
1 Jul 2009, 9:43 am
Citigroup's global head of energy mergers and acquisitions is making the move to Bank of America Merrill Lynch to become a managing director in the firm's energy practice. [read post]
5 Oct 2009, 3:01 pm
strong>Morgan Stanley has hired Kevin Dunleavy from Bank of America Merrill Lynch to be a managing director in the firm's sales and trading division. [read post]
22 Dec 2020, 10:02 am
Since leaving Merrill Lynch, Mr. [read post]
31 Oct 2008, 4:53 pm
" Â This is part of the retention package as Merrill Lynch would propose it. [read post]
17 Oct 2011, 8:25 am
This week, FINRA announced that it has charged Merrill Lynch with failing to supervise one of its employees who successfully ran a Ponzi scheme using Merrill Lynch accounts. [read post]
7 Jan 2010, 1:41 pm
The broker in the case, Todd Gutkin, left Merrill Lynch in April. [read post]
14 Dec 2018, 1:13 pm
The former NFL player sued both Bank of America and Merrill Lynch over the broker fraud. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
24 Aug 2009, 12:49 pm
" Second: The intention of Merrill Lynch & Co., Inc. [read post]
31 Mar 2010, 2:47 am
Bank of America and Merrill Lynch were accused of discriminating against women in a lawsuit filed on Tuesday by three female financial advisers at the companies, The Associated Press reported. [read post]
12 Sep 2008, 11:15 am
Merrill Lynch shares fell nearly 17 percent on Thursday as worries over Lehman Brothers‘ future raised questions on which investment bank may be next to face questions about its survival. [read post]
8 Jan 2009, 3:32 pm
Merrill Lynch lost another senior executive on Thursday as the firm's investment banking chief, Gregory J. [read post]
18 Jan 2010, 5:00 am
Merrill Lynch had to approve the merger; shareholders of BofA had to approve the issuance of the shares used to acquire Merrill Lynch. [read post]
2 Apr 2009, 11:52 am
http://www.aboutlawsuits.com/merrill-lynch-investor-arbitration-claim-award-3408/April 2nd, 2009 An arbitration panel through the Financial Industry Regulatory Authority (FINRA) awarded an investor $30.6 million in compensatory damages and $9.2 million in interest against Merrill Lynch as a result of the negligence of one of their subsidiary broker-dealers. [read post]
13 Aug 2011, 12:39 pm
[JURIST] A federal appeals court on Friday upheld [opinion, PDF] the conviction of ex-Merrill Lynch [corporate website] executive James Brown stemming from his role in the Enron fraud scandal [JUIRST news archive]. [read post]
