Merrill to Pay $13.5M to Settle Market-Timing Abuse Charges
- NASD Hits Merrill With $5M Fine for Small-Investor Violations. Hume, Lynn // Bond Buyer;3/16/2006, Vol. 355 Issue 32340, p5
The article reports on the fine levied by the National Association of Securities Dealers on Merrill Lynch, Pierce, Fenner & Smith Inc. in the United States. The organization need to pay five million dollars and take corrective measures to settle supervisory, registration, suitability and sales...
- Bring Main Street back to Wall Street. SMITH JR., WINTHROP H. // Westchester County Business Journal;3/16/2015, Vol. 51 Issue 11, p20
The author informs about the role of investment firm Merrill Lynch, Pierce, Fenner & Beane in helping customers thinking to invest in the stock market through training of brokers and conducting free seminars and publication and the need to bring trust for Wall Street in the eyes of Americans.
- NASD Fines 3 Firms Over Fund Charges. Hume, Lynn // Bond Buyer;12/20/2005, Vol. 354 Issue 32282, p5
The article reports that the National Association of Securities Dealers (NASD) has fined three firms, namely, Merrill Lynch Pierce Fenner & Smith Inc., Wells Fargo Investments LLC, and Linsco/Private Ledger Corp. in connection with their sales of Class B and Class C mutual fund shares. Merrill...
- Last Act in the Cliff-Hanger? // Time;11/9/1970, Vol. 96 Issue 19, p92
The article looks at the rescue of Goodbody & Co., the fifth largest brokerage house of U.S. The undercapitalization of the firm almost lead to its liquidation that threatened the whole securities industry and an emergency meeting called at the New York Stock Exchange of the twenty richest...
- MSS market eventually could support 30 companies. Mooney, Elizabeth V. // RCR;05/11/98, Vol. 17 Issue 19, p22
States that according to projections by the Merrill Lynch, Pierce, Fenner and Smith Incorporated, the revenues of the global satellite industry will increase from $38 billion in 1997 to $171 billion in 2007. Factors which will contribute to the increase in revenues; Reference to the report...
- Brokerage targets small business. Ghering, Mike // Grand Rapids Business Journal;11/11/96, Vol. 14 Issue 46, pB-7
Reports on brokerage firm Merrill Lynch, Pierce, Fenner and Smith Inc.'s focus on the financial planning market for small business.
- BROADER IS BETTER: HOW COURTS SHOULD DETERMINE WHETHER OR NOT AN ALLEGATION OF FRAUD FALLS UNDER THE PREEMPTION PROVISION OF THE SECURITIES LITIGATION UNIFORM STANDARDS ACT. ROESKE, JENNIFER ROSE // St. John's Law Review;Summer2014, Vol. 88 Issue 2, p433
The article offers information on various approaches adopted by the U.S. Courts interpretation of securities fraud class actions under the preemption provisions of the Securities Litigation Uniform Standards Act of 1998. It discusses the history, purpose and significance of the Private...
- Brady Bonds and Sovereign Instruments. // High Yield Report;01/28/2002, Vol. 13 Issue 4, p6
Presents the global list of brady bonds and sovereign instruments compiled by Merrill Lynch Pierce Fenner and Smith Inc. as of January 23, 2002. Rate of coupons; Bond priced; Gain of bonds.
- Brady Bonds and Sovereign Instruments. // High Yield Report;4/15/2002, Vol. 13 Issue 15, p6
Presents a chart depicting bonds and sovereign instruments compiled by Merrill Lynch Pierce Fenner & Smith.