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Showing results for Dencker v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

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Asia-Pacific companies
BofAML settles SEC claims over sale of shares in Chinese software company
...The Securities and Exchange Commission said on Thursday that the bank’s broker-dealer, Merrill Lynch, Pierce, Fenner & Smith, had brokered the sale of almost 3m Longtop shares “despite red flags indicating...
March 8, 2018
Investments
Legal battles loom between broker-dealers and departing advisers
...The Protocol for Broker Recruiting was signed in 2004 by UBS Financial Services, Citigroup Global Markets, and Merrill Lynch, Pierce, Fenner & Smith....
March 22, 2018
FT Live
Global Private Banking Awards 2024
Celebrating excellence in wealth management
Thursday, 7 NovemberThe Landmark London, London, UK
Q&ACapital markets
Money managers shake up ETF landscape
...The top five institutional players in ETFs are: Merrill Lynch, Pierce, Fenner & Smith, a subsidiary of Bank of America; Morgan Stanley Smith Barney; Goldman Sachs Private Banking; Wells Fargo Advisors; and...
March 22, 2016
beyondbricsMergers & Acquisitions
Investors not liking Banorte’s plans for a $3bn share offering
...Banorte’s loan was provided by a syndicate of lenders, including Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, JP Morgan Securities and The Bank of Tokyo-Mitsubishi....
June 12, 2013
Capital markets
NY Fed sells $1.9bn tranche of AIG assets
...Merrill Lynch Pierce Fenner & Smith, a unit of Bank of America, emerged as the winner in Wednesday’s auction, beating out five rival Wall Street bidders....
June 14, 2012
US & Canadian companies
Maiden Lane III sale moves complex assets
...Some of these same counterparties, such as Goldman Sachs, Deutsche Bank, Barclays and Bank of America, through its Merrill Lynch Pierce Fenner & Smith unit, now have the chance to buy back these securities...
April 18, 2012
FT Live
Future of Asset Management Europe
New fund firm models for Europe's resurgence
Tuesday, 12 NovemberLondon, UK
Stock exchange consolidation
NYSE intensifies futures battle with CME
...NYSE said on Tuesday that ABN Amro Clearing Chicago, Citigroup Global Markets and Merrill, Lynch, Pierce, Fenner & Smith were becoming clearing members of New York Portfolio Clearing, its clearing house...
August 16, 2011
US downturn
BofA primary dealer revisits Wall St’s past
...A famous name from Wall Street’s past has re-emerged as Bank of America’s official broker-dealer platform in the US: Merrill Lynch Pierce Fenner & Smith....
November 1, 2010
FT AlphavilleStacy-Marie Ishmael
Google and Twitter v the investment banks
...In the most recent series of developments, BarCap, Merrill, Morgan and Pierce, Fenner & Smith Inc filed suit against the site in March....
June 22, 2010
FT AlphavilleTracy Alloway
More bad news from Merrill, squawkbox edition
...., March 11, 2009 — The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Inc. with securities laws violations for having inadequate policies and procedures for controlling...
March 11, 2009
FT AlphavillePaul Murphy
The Cheyne Finance wind-up letter
...., Lehman Brothers International (Europe), Lehman Brothers Inc., Merrill Lynch International, Merrill Lynch Money Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated We refer to the Investment...
August 29, 2007
US & Canadian companies
Off to Hollywood
...Marvel Enterprises on Tuesday announced it had changed its name to Marvel Entertainment to reflect its expansion into film production with the closing of a $525m loan deal with Merrill Lynch, Pierce, Fenner...
September 6, 2005

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