An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Merrill Lynch (85 results)
- Finders Keepers Losers Weepers Ends With FINRA Bar
February 25, 2021 - Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement
January 29, 2021 - Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case
December 22, 2020 - FINRA Fines Small Firm And its Owner For Misclassification of Expenses
October 21, 2020 - FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals
October 14, 2020 - UPDATE: Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited By Tax Court
August 10, 2020 - FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History
May 19, 2020 - Federal Courts Okay FINRA Unexplained Arbitration Decision
March 30, 2020 - FINRA Fines And Suspends Rep Over Unauthorized Signatures on Self Directed IRA Transfers
February 25, 2020 - FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive
January 13, 2020 - Fee Based Rep Seeks Expungement Over Commissions He Never Charged
December 4, 2019 - What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie?
November 26, 2019 - [In]Securities Guest Blog: Money for Nothing by Aegis Frumento
October 10, 2019 - Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq
October 7, 2019 - FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal
September 4, 2019 - Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration
March 18, 2019 - Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
March 15, 2019 - Pro Se Stockbroker Wins FINRA Expungement of Merrill Lynch Settled Customer Complaint
March 6, 2019 - Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses
February 13, 2019 - Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits
February 11, 2019 - Expungement Ten Years in the Making For Merrill Lynch Stockbroker
January 22, 2019 - Ir-Rationale FINRA Merrill Lynch EFL Arbitration Decision Cited by Tax Court
December 31, 2018 - Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room
December 17, 2018 - Merrill Lynch Rep Wins Expungement of Decade Old Customer Complaint
October 2, 2018 - GUEST BLOG: How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq
September 13, 2018 - Ya Hear The One About The Stockbroker Who Listened to Idiots and Never Got His Record Expunged?
August 27, 2018 - Money For Nothing Leaves Stockbroker in Dire Straits With FINRA
May 9, 2018 - Rashomon Plays Out In Merrill Lynch Discretionary Case
April 16, 2018 - Body and Estate and Soul and a Counterfeiter and a Murderer and Merrill Lynch
March 28, 2018 - Merrill Lynch Employee and AllianceBernstein Work It Out In Unfair Competition Dispute
March 16, 2018 - FINRA Arbitrators See No UBS, Citigroup, or Merrill Customers And Dismiss Case
January 23, 2018 - Clever Stipulation In FINRA Expungement Arbitration
November 17, 2017 - Stockbroker Expunges Complaint About Profitable Investment
May 1, 2017 - Merrill Lynch Employee Flies First Class After Mystery Man Misuses Corporate Card
April 21, 2017 - FINRA Fines And Suspends Merrill Rep For Altering Client Documents
April 12, 2017 - FINRA Settles With Merrill Lynch Rep Who Tried To Sell Customer Information
April 11, 2017 - Merrill Lynch Defamation Ruins Stockbroker Career
November 9, 2016 - Merrill Lynch KO'd In $1.6 Million Note Arbitration
October 18, 2016 - The Stockbroker, Her Cancer Patient Friend and Customer, And The Estate Complaint
August 10, 2016 - Rep Says Merrill Lynch Failed to Enroll Him In Deferred Comp Plan
June 7, 2016 - BREAKING NEWS: Bank of America Hit In Lurid Gender Pay Bias Lawsuit
May 17, 2016 - Federal Appeals Court Says Mandatory FINRA Arbitration Isn't Necessarily So
January 29, 2016 - Lord Voldemort, Merrill Lynch, Bank of America, and FINRA
December 30, 2015 - The Merrill Lynch Stockbroker, the Deceased Mom, Her Son, And Transfer On Death
December 14, 2015 - FINRA Bars Top Producer For Charging Commissions Instead Of Fees
August 3, 2015 - Merrill Lynch Blindsided By Former Employee In Promissory Note Case
March 20, 2015 - FINRA Alarm Bells Awaken Sleepwalking Supervisors
October 20, 2014 - Age Discrimination Case Against Bank Of America
September 8, 2014 - Merrill Lynch Employee Sought $23 Million Crown Jewel Account Damages
February 27, 2014 - Merrill Lynch Petty Cash Xmas Theft
October 10, 2013 - Merrill Loses Promissory Note Case And Broker Gets Expungement
August 9, 2013 - Merrill Lynch Liable In Facebook Execution Snafu
June 21, 2013 - Former Merrill Lynch Employee Files $3.8 Million Wrongful Termination Case
June 6, 2013 - FINRA Hits Merrill Lynch With Historic $1 Million Fine For Circumventing Mandatory Arbitration During Collection of Employee Promissory Notes
January 26, 2012 - Blank Forms Jam Up Broker In Annuity Sales
May 16, 2013 - Stockbroker's Real Estate Sale Runs Afoul Of Borrowing Rule
May 7, 2013 - Courts Sustain Wells Fargo, Morgan Stanley, and Merrill Lynch Away Account Denials
April 12, 2013 - Merrill Lynch Selling Away Case Goes Back To The Future
March 27, 2013 - Merrill Lynch Avoids Cyprus Bank Wire Disaster
March 19, 2013 - UBS And Merrill Lynch Win $2.5 Million DotCom Customer Case
February 11, 2013 - Merrill Lynch Collateral Damage in Goldman Sachs Floating Rate Trust Case
January 2, 2013 - Merrill Lynch Settles Customer Suitability Case Despite Apparent Profitability
December 14, 2012 - Kink In Merrill Lynch ARMOR Loses $Million Customer Arbitration
December 13, 2012 - Former Merrill Lynch Colleagues Sue Each Other In FINRA Arbitration
May 22, 2012 - FINRA Fines And Suspends Lawyer For Practicing Law
May 2, 2012 - Merrill Lynch Trainee Doctors Failed Scores And Tests FINRA's Patience
April 18, 2012 - Bounced Personal Checks Get Merrill Lynch Broker Suspended By FINRA
April 12, 2012 - Allegations Of Intolerable Work Conditions Fail In Former Merrill Lynch Employee's Promissory Note Case
April 11, 2012 - Eloquent Arbitration Decision Rules For Merrill Lynch In Pro Se Employee Promissory Note Case
March 23, 2012 - Appeals Court Class Certification in Merrill Lynch Racial Discrimination Case Sets Stage for Conflict With Supreme Court's Wal-Mart
February 24, 2012 - Merrill Lynch Wins FINRA Mutual Funds Arbitration Involving Margin
January 18, 2012 - Merrill Lynch Wins Solicitation Injunction Against Former Employee
December 21, 2011 - Merrill Lynch Wins Five-Year FINRA IRA Arbitration Saga
November 21, 2011 - FINRA Arbitrators Slam Merrill Lynch Professional Clearing With Massive Damage Award
July 7, 2011 - Merrill Hit With Delayed Discovery Sanctions in FINRA Customer Arbitration
July 1, 2011 - Merrill Lynch Crushed In Promissory Note Case By Employee Seeking $13.2 in Damages
June 17, 2011 - Merrill Lynch Says Late Is Not Better Than Never
June 1, 2011 - Merrill Lynch Arbitration Shows Unique Impact of Baby Boomers
May 24, 2011 - Mother Sues Merrill Lynch Over Daughter’s Guardianship
May 16, 2011 - Merrill Lynch Hoisted On Its Own FINRA Promissory Note Arbitration Petard
May 13, 2011 - Customer Claims Merrill Lynch Nickel-and-Dimed a Two-Bit BZ Order
May 10, 2011 - A Battle Royal for Terminated Merrill Lynch Employees (and one wife)
April 21, 2011 - Unnamed FINRA Arbitration Respondent Wins Expungement -- What??
November 17, 2010 - What the FACAAP Is Going On Here?
October 14, 2010 - Another Pro Se Respondent Settles a Promissory Note Case
August 10, 2010