Merrill Lynch & Co. Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 25 Sep 2024 19:31:22 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Merrill Lynch & Co. Inc. – Investment Executive https://www.investmentexecutive.com 32 32 Advisers failed to enforce investment limits: SEC https://www.investmentexecutive.com/news/from-the-regulators/advisers-failed-to-enforce-investment-limits-sec/ Wed, 25 Sep 2024 17:50:02 +0000 https://www.investmentexecutive.com/?p=493396 Regulator orders fines, disgorgement against portfolio manager, broker

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]]> Merrill Lynch settles SEC fee disclosure charges https://www.investmentexecutive.com/news/from-the-regulators/merrill-lynch-settles-sec-fee-disclosure-charges/ Tue, 04 Apr 2023 19:44:05 +0000 https://www.investmentexecutive.com/?p=463338 Firm failed to inform clients about added forex charges, regulator alleged

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]]> Merrill Lynch resolves mutual fund overcharging case https://www.investmentexecutive.com/news/from-the-regulators/merrill-lynch-resolves-mutual-fund-overcharging-case/ Thu, 02 Jun 2022 21:09:25 +0000 https://www.investmentexecutive.com/?p=445428 Firm's systems failed to spot clients who were eligible for cheaper fund series

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]]> Merrill Lynch sanctioned for alleged churning https://www.investmentexecutive.com/news/from-the-regulators/merrill-lynch-sanctioned-for-alleged-churning/ Fri, 25 Jun 2021 16:48:56 +0000 https://www.investmentexecutive.com/?p=424427 FINRA has fined the firm and ordered restitution for early rollover recommendations

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]]> U.S. firms to pay back overcharged clients, FINRA says https://www.investmentexecutive.com/news/from-the-regulators/u-s-firms-to-pay-back-overcharged-clients-finra-says/ Wed, 06 Nov 2019 18:32:33 +0000 https://www.investmentexecutive.com/?p=390255 Firms allegedly charged excess fees on education savings plans

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]]> Investment bankers take hefty haircut in first-half fees https://www.investmentexecutive.com/news/research-and-markets/investment-bankers-take-hefty-haircut-in-first-half-fees/ Wed, 03 Jul 2019 15:34:57 +0000 https://www.investmentexecutive.com/?p=384128 Only debt underwriting fees increased

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]]> Canadian recovery may be short-lived, Merrill Lynch warns https://www.investmentexecutive.com/news/research-and-markets/canadian-recovery-may-be-short-lived-merrill-lynch-warns/ Mon, 06 Jul 2009 16:07:00 +0000 https://www.investmentexecutive.com/uncategorized/canadian-recovery-may-be-short-lived-merrill-lynch-warns/ Restructuring and credit issues, combined with overreaction to growth on the Bank of Canada’s part, could stifle Canada’s economic rebound

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]]> Managers express growing optimism in global economic outlook: Merrill Lynch https://www.investmentexecutive.com/news/industry-news/managers-express-growing-optimism-in-global-economic-outlook-merrill-lynch/ Wed, 18 Mar 2009 15:51:00 +0000 https://www.investmentexecutive.com/uncategorized/managers-express-growing-optimism-in-global-economic-outlook-merrill-lynch/ Fear over banks holds back equity recovery

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]]> Merrill Lynch cuts 2009 outlook for Canadian economy https://www.investmentexecutive.com/news/research-and-markets/merrill-lynch-cuts-2009-outlook-for-canadian-economy/ Wed, 18 Mar 2009 14:10:00 +0000 https://www.investmentexecutive.com/uncategorized/merrill-lynch-cuts-2009-outlook-for-canadian-economy/ Sluggish rebound forecast for 2010

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]]> SEC fines Merrill Lynch US$7 million over squawk-box violations https://www.investmentexecutive.com/news/from-the-regulators/sec-fines-merrill-lynch-us7-million-over-squawk-box-violations/ Wed, 11 Mar 2009 15:20:00 +0000 https://www.investmentexecutive.com/uncategorized/sec-fines-merrill-lynch-us7-million-over-squawk-box-violations/ The U.S. Securities and Exchange Commission has settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. over allegations that it let traders at other firms listen into its squawk boxes, the regulator said Wednesday.The SEC charged the firm with securities laws violations for having inadequate policies and procedures for controlling access to institutional customer […]

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