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13 May 2024, 9:05 pm
A contributing factor has been the expectation and demand of regulators during a crisis that the larger or healthier banks acquire the assets of the weaker or failing banks to save the banking system (see Tahyar, 2018, page 28 on Henry Paulson pressuring the BoA to acquire Merrill Lynch)[5]. [read post]
28 Feb 2024, 6:37 pm
” These letters are called activity letters and most brokerage firms send them, including Morgan Stanley, Bank of America, Wells Fargo, Merrill Lynch, Citigroup (Smith Barney), and Ameriprise. [read post]
30 Jan 2024, 9:02 pm
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1] This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
28 Dec 2023, 10:22 am
District Court for the Southern District of Florida in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
7 Dec 2023, 7:11 am
Additionally, the SEC charged Merrill Lynch with failing to file necessary Suspicious Activity Reports for a 10 year period from 2009 to 2019. [read post]
15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
14 Nov 2023, 9:01 pm
In addition, the SEC obtained judgments from federal courts ordering: Danske Bank, a multinational financial services corporation, to pay a $178.6 million civil penalty to resolve charges that it misled investors about its anti-money laundering compliance program and failed to disclose risks posed by the program’s significant deficiencies; and Vale S.A., a mining company and one of the largest iron ore producers in the world, to pay $55.9 million combined in a civil penalty,… [read post]
25 Oct 2023, 12:49 pm
Deutsche Bank Securities Inc. [read post]
3 Oct 2023, 8:44 am
Bank of America (Bank of America, N.A (BANA) and Merrill Lynch International (MLI)) for failing to diligently supervise swaps reporting and failing to comply with swaps reporting obligations. [read post]
1 Oct 2023, 8:04 am
If you lost money because of Gerstein’s investment recommendations, please contact Banks Law Office today. [read post]
7 Sep 2023, 1:03 am
Here are a couple of examples: Merrill Lynch pays $1.4 Million for Cold Calling Violations In March 2023, Merrill Lynch agreed to pay $1.4 million in fines for inappropriate cold calling by its trainees from 2018 to 2020. [read post]
11 Aug 2023, 9:37 am
The Commodity Futures Trading Commission announced on the same day a separate settlement with the Merrill Lynch Commodities unit of Bank of America, requiring it to “pay an $11.5 million civil fine, cooperate with any related investigations, and remediate practices,” according to the article. [read post]
11 Jun 2023, 1:38 pm
Iannazzo was fired by Merrill Lynch a year [...] [read post]
9 May 2023, 11:55 am
In case there was trouble with the bank. [read post]
8 May 2023, 6:57 am
Two Securities Regulators Fine Merrill Lynch $1.4 Million for Cold Calling Violations According to Investment News on May 4, 2023, Merrill Lynch has agreed to pay $1.4 million for inappropriate cold calling by its trainees between 2018 and 2020. [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
22 Mar 2023, 12:52 pm
In 2008, you had a bunch of the largest banks, Merrill Lynch, Morgan Stanley, Citigroup having bad assets on their books, mortgage backed securities. [read post]
22 Mar 2023, 9:29 am
Investors who purchased Credit Suisse bonds directly through financial advisors such as Morgan Stanley, UBS, or Merrill Lynch may have a claim for investment fraud if the bonds were unsuitable for their investment profile or if the risks were not properly disclosed. [read post]
17 Mar 2023, 2:56 pm
From bank failures to fraud perpetrated by major brokerage firms like Merrill Lynch and Morgan Stanley, retail investors have a lot to be worried about in 2023. [read post]
15 Mar 2023, 7:22 am
Generally, no, unless a Wall Street brokerage firm (think Morgan Stanly, Merrill Lynch, etc.) recommended that you purchase a large portion of SVB and other bank stock. [read post]
