INVESTMENT BANKING DATABASE: FIGs
- Merrill to Pay $10M Fine to Big Board. // American Banker;8/16/2005, Vol. 170 Issue 157, p18
States Merrill Lynch & Co. Inc. will pay $10 million in a settlement involving the New York Stock Exchange. The fine for failing to deliver its prospectus to investors; The fine paid by Morgan Stanley in December; Explanation of the complaint against Merrill Lynch, whose spokesman said "coding...
- Merrill Fined $625,000 by NYSE. // Investment Management Weekly;5/17/2004, Vol. 17 Issue 20, p3
Reports on the action taken by the New York Stock Exchange (NYSE) in fining fund manager Merrill Lynch. Failure of Merrll Lynch to supervise former stock analyst Peter Caruso and a saleswoman regarding the planned downgrade of the stock of Home Depot in the U.S.; Outcome of the discussion of...
- Brokers Behaving Badly. // njbiz;3/14/2005, Vol. 18 Issue 11, p2
Reports on the accusations against financial firms Merrill Lynch and Knight Securities for failing to supervise financial advisers in the U.S. in March 2005. Fine ordered by the New York Stock Exchange for Merrill Lynch to pay; Violations charged by financial regulator National Association of...
- DATA. // High Yield Report;8/21/2006, Vol. 17 Issue 33, p10
Tables and graphs are presented depicting the financial performance of Merrill Lynch & Co. Inc.
- A bumper of a November. Murrill, Maureen // BRW;12/13/2001, Vol. 23 Issue 49, p21
Reports on equity trading in the Australian Stock Exchange during November 2001. Comparison with the results in June 2001; Discussion on the dismissal of employees at Merrill Lynch.
- Brokerage stocks vs. S&P 500. // Investment Dealers' Digest;03/15/99, Vol. 65 Issue 11, p12
Presents graphical data pertaining to the performance of brokerage stocks compared with the S&P 500 stock index.
- Merrill, Citi to Leave Philippine Market. // American Banker;8/3/2001, Vol. 166 Issue 149, p20
Reports that Merrill Lynch & Co. and Citigroup Inc. are leaving the Philippine stock market. Other investment banks quitting the market; Reasons.
- ACTIONS. // On Wall Street;Apr2005, Vol. 15 Issue 4, p25
Presents an update on the securities industry in the U.S. as of April 2005. Settlement of market-timing and late-trading charges filed by the U.S. Securities and Exchange Commission against Banc of America Securities; Fine imposed by the New York Stock Exchange (NYSE) against JP Morgan; Reason...
- ML Master HY Index. // High Yield Report;11/21/2005, Vol. 16 Issue 44, p1
Presents a chart depicting high yield investments of Merrill Lynch & Co. Inc.