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Other SEC charges and settlements from January 17 include: Wells Fargo Advisors and Merrill Lynch settled charges for failing to adopt and implement investment advising rules and failure to follow ...
The Global Analyst Research Settlement was an enforcement agreement reached in the United States on April 28, 2003, between the United States Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (NASD), New York Stock Exchange (NYSE), and ten of the United States's largest investment firms to address issues of conflict of interest within their businesses in ...
The new settlement with Fannie Mae and Freddie Mac resolves lawsuits filed against Bank of America, Merrill Lynch, and Countrywide, the subprime mortgage lender it bought at the height of the ...
The federal judge who was supposed to approve a $33 million settlement between Bank of America (NYSE:BAC) and the SEC over omissions in the bank's proxy statement for approving the Merrill Lynch ...
Schooley, who was rated as a top broker in Enid, Oklahoma, [3] discovered systemic wrongdoing at Merrill Lynch that ranged from brokers to management to the board of directors and included: License-related exam cheat sheets; Country club list theft; Embezzlement; Falsification of records; Failure of management to deliver millions in assets; Bond rating fraud; Tour de France scheme; Client ...
Merrill Lynch & Co., formally Merrill Lynch, Pierce, Fenner & Smith Incorporated, was a publicly-traded American investment bank that existed independently from 1914 until January 2009 before being acquired by Bank of America and rolled into BofA Securities.
Bank of America Reaches Settlement in Merrill Lynch Acquisition-Related Class Action Litigation Total Third-Quarter 2012 Litigation Expense Estimated to Be Approximately $1.6 Billion Litigation ...
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit, 547 U.S. 71 (2006), was a case decided by the Supreme Court of the United States involving the extent to which state law securities fraud class action claims were preempted by the Securities Litigation Uniform Standards Act of 1998 (SLUSA).