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Merrill lynch
Democratizing Investing: A Revolution in the Making?
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Blockchain Use Cases in Food Traceability: Opportunities and
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The Role of Blockchain in Authenticating and Provenance Art
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FunderPro Sponsors Ferrari F1 Protégé & Youngest British Formula
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Democratizing Investing: A Revolution in the Making?
Education Center
Blockchain Use Cases in Food Traceability: Opportunities and
Education Center
The Role of Blockchain in Authenticating and Provenance Art
Education Center
FunderPro Sponsors Ferrari F1 Protégé & Youngest British Formula
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Merrill Lynch
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Executive Moves
Dieter Enkelmann Steps Down as Julius Baer CFO as Evie Kostakis Steps Up
Enkelmann plans to move on to other non-executive posts outside the bank.
Kostakis will succeed Enkelmann as CFO and Member of the group and bank’s Executive Board.
Wednesday, 22/12/2021 | 14:13 GMT
by
Tom Hazan
Executive Moves
MarketAxess Onboards Charles Li to Join Its Board of Directors
Li brings in excess of a quarter of a century of experience to the role with MarketAxess.
Monday, 19/07/2021 | 10:30 GMT
by
Tom Hazan
Executive Moves
Michael Findlay Is Onboarded as FCA's Chair of Markets Practitioner Panel
Michael Findlay succeeds interim Chair, Tim Waddell, the Vice-Chair of Global Corp. & Investment Banking for EMEA.
Tuesday, 15/06/2021 | 12:00 GMT
by
Tom Hazan
Executive Moves
Diginex Hires Ex-Merrill Lynch CFO Jim Pollock as Its New COO
He is bringing over 30 years of financial sector experience to the startup.
Wednesday, 12/02/2020 | 10:20 GMT
by
Arnab Shome
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Regulation
SFC Suggests that Merrill Wealth is Merrill Lynch Clone Firm
The entity has been listed on the regulator’s warning page as a “suspicious website.”
Thursday, 25/07/2019 | 12:25 GMT
by
Celeste Skinner
Regulation
Merrill Lynch Pays $36.5 Million to Settle Spoofing Charges
Prosecutors filed complaints describing the plot, quoting conversations MLCI staff had via online chat with other traders.
Wednesday, 26/06/2019 | 17:19 GMT
by
Aziz Abdel-Qader
News
Ex-Merrill Lynch Banker Suspended by FINRA for Crypto Business
Kyung Soo Kim will also have to pay a $5,000 fine for starting a mining operation without informing his employers
Thursday, 13/06/2019 | 10:14 GMT
by
David Kimberley
Regulation
Merrill Lynch Pays $8 Million to Settle ADRs Case with SEC
The SEC has probed and fined several Wall Street banks in similar cases including Citigroup, Deutsche Bank, and J.P. Morgan.
Friday, 22/03/2019 | 20:48 GMT
by
Aziz Abdel-Qader
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Institutional FX
Merrill Lynch Fined $42 Million by SEC for Misleading Clients Over Orders
The wealth manager told clients it was executing orders internally when they were really being passed on to other broker-dealers
Wednesday, 20/06/2018 | 07:01 GMT
by
David Kimberley
Regulation
Merrill Lynch to Pay Back More Than $10 Million over Securities Fraud
The SEC found that traders had lied to customers about how much they had paid for residential mortgage backed securities
Wednesday, 13/06/2018 | 06:34 GMT
by
David Kimberley
Regulation
Merrill Lynch Pays $60,000 Fine for Inappropriate Order Limits in Australia
MLAF set inappropriate order limits in its upstream and downstream systems, undetected for 6 years.
Tuesday, 12/09/2017 | 06:43 GMT
by
Colin Firth
Regulation
SFC Fines Merrill Lynch Asian Subsidiaries $15m for Internal Control Failures
The SFC reprimanded a pair of Merrill Lynch subsidiaries $15m after an independent review.
Friday, 24/03/2017 | 14:38 GMT
by
Jeff Patterson
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Executive Moves
BAML Drops Joint Leadership in Investment Banking Unit, Diego De Giorgi Becomes Sole Head
Bank of America Merrill Lynch (BAML) is the latest firm to shake up the top ranks of its investment bank.
Wednesday, 19/10/2016 | 15:13 GMT
by
Aziz Abdel-Qader
Regulation
Merrill Lynch Fined $2.8 Million by FINRA for Reporting Violations
A large part of the transmitted information was deemed inaccurate.
Tuesday, 18/10/2016 | 16:32 GMT
by
Aziz Abdel-Qader
Executive Moves
Former Merrill Lynch and Visa Europe Heads Join Bink Loyalty App
Wigley and Perry have joined the company in senior roles tasked wtih executing the launch of Bink’s new service.
Tuesday, 04/10/2016 | 09:29 GMT
by
Finance Magnates Staff
Regulation
Merrill Lynch Settles for $15.5m over Mini-Flash Crashes
This is the highest-ever SEC penalty for violations of the Market Access Rule.
Monday, 26/09/2016 | 20:32 GMT
by
Aziz Abdel-Qader
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Regulation
Bank of America Settles for $12.8m with Former Merrill Lynch Employees
Bank of America reached a settlement, awarding a total of $12.8 million for claims by 270 former employees.
Friday, 09/09/2016 | 10:27 GMT
by
Jeff Patterson
Regulation
Merrill Lynch Poised to Further Lose Over Structured Notes Sales
Merrill Lynch sold approximately $150 million of these volatility notes to approximately 4,000 retail investor.
Thursday, 01/09/2016 | 15:26 GMT
by
Aziz Abdel-Qader
Executive Moves
Barclays’ John Langley to Part Ways with Lender by Year's End
Mr. Langley has worked at Merrill Lynch and Barclays for the past two decades and will retire from the group in December.
Friday, 26/08/2016 | 06:18 GMT
by
Jeff Patterson
Regulation
Merrill Lynch Fined $425m For Misleading Investors and Misusing Assets
SEC and FINRA launched a crackdown on Merrill Lynch which will pay more than $400 million to settle several violations.
Thursday, 23/06/2016 | 23:57 GMT
by
Aziz Abdel-Qader
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