Merrill Lynch & Co. Inc. – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Fri, 17 Jan 2025 21:22:24 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Merrill Lynch & Co. Inc. – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Firms shortchanged cash sweep clients: SEC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/firms-shortchanged-cash-sweep-clients-sec/ Fri, 17 Jan 2025 21:22:24 +0000 https://www.investmentexecutive.com/?p=500436 Advisory clients only offered low-paying sweep accounts, regulator alleged

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]]> Advisers failed to enforce investment limits: SEC https://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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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