Search for: "Merrill Lynch Financial Markets Inc."
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18 Feb 2009, 1:27 pm
Amegy Bank and Amegy Investments, Inc., a registered broker-dealer, commenced an arbitration proceeding against Merrill Lynch to recover $140 million paid for auction rate securities sold to it by Merrill, according to a February 10, 2009 article by Mary Alice Robbins in LAW.COM. [read post]
13 Jan 2020, 1:45 pm
Morgan Securities LLC, Morgan Stanley Smith Barney LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc., for failing to ensure asset transfers on legally mandated dates for at least 80,585 accounts. 53,384 of the accounts came from Morgan Stanley and 15,366 accounts came from Merrill Lynch; while, 5,666 accounts were at J.P. [read post]
19 Jul 2008, 2:48 pm
In the months leading up to the collapse, JP Morgan Securities, Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos. and Merrill Lynch & Co. warned the Commonwealth of Massachusetts that the auction-rate markets were in trouble and that the state should consider refinancing some of its debt. [read post]
1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
11 Jul 2013, 7:25 am
The targeted firms are reportedly: Morgan Stanley, Merrill Lynch, UBS Securities LLC, Fidelity Brokerage Services LLC, Charles Schwab & Co. [read post]
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
9 Feb 2009, 3:09 pm
Various companies, including Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
21 Apr 2009, 8:12 am
Credit default swaps played a major role in the credit crisis that brought the downfall of Lehman Brothers Holdings, the bailout and restructuring of American International Group Inc., and Merrill Lynch & Co. being absorbed by Bank of America Corp. [read post]
19 Feb 2019, 2:04 pm
(CRD #8174) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691), also of Indianapolis, and UBS Painewebber Inc. [read post]
4 Apr 2018, 7:33 am
Barry Jones Merrill Lynch, Pierce, Fenner &Smith Inc. [read post]
10 Nov 2023, 7:01 am
(CRD#:6363) of Los Angeles, CA, Citigroup Global Markets Inc. [read post]
15 Mar 2018, 5:00 am
Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of SecuritiesThe SEC settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. for its failure to perform required gatekeeping functions in the unregistered sales of securities on behalf of a China-based issuer and its affiliates.NYSE to Pay $14 Million Penalty for Multiple ViolationsThe SEC charged the New York Stock Exchange and two affiliated exchanges with… [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley … [read post]
24 Jun 2007, 4:26 am
Merrill's savings bank, for example, holds $55 billion in deposits from Merrill's customers, plus other assets, and earned over $2 billion last year, confirms Jon Holtaway, managing director of Danielson Associates Inc., a bank consulting firm in Rockville, Maryland. [read post]
6 Feb 2018, 7:36 am
Barry Jones Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
15 Sep 2008, 7:54 am
(c) Legal Expert Connections, Inc., 866-417-7025 www.legalexpertconnections.com [read post]
16 Feb 2016, 12:06 pm
While investors have suffered alarming losses in the oil and natural gas related investments, broker-dealers such as Citigroup, Barclays, Wells Fargo, Bank of America Merrill Lynch, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and JP Morgan have made approximately $1.1 billion in fees and commissions from selling these products. [read post]
16 May 2019, 7:37 am
The lawsuit’s complaint alleges that the company made false and misleading statements on several important matters, including that: A significant amount of the company’s revenue came from third parties The third parties allegedly used deceptive tactics to sell Health Insurance Innovations’ policies Regulatory inspection of the third parties would materially impact the company’s operations Health Insurance Innovations raised more than $65 million with its public offering,… [read post]
1 Jul 2019, 12:43 pm
Citigroup Global Markets Inc Merrill Lynch, Pierce, Fenner & Smith Inc Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
