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Registered Rep.
September 1, 2005
John Churchill |
She's Baaaack Hydie Sumner, a former broker who successfully sued Merrill Lynch for sexual discrimination, has been trying for seven years to reacquire her job at the firm. Now an arbitration panel has ruled that she can return to Merrill.   |
Registered Rep.
September 8, 2006
Kevin Burke |
Male-Bashing at Mother Merrill? Merrill's sex-discrimination troubles just won't go away. But this time it isn't a woman raising a stink. Blas Catalani, a former sales manager at Merrill Lynch's San Antonio office, is suing a female ex-broker and her lawyer on grounds that the two women conspired to get him fired. |
Registered Rep.
March 9, 2007 |
The Legal Battle that just Keeps on Going The former broker who won $2.2 million from Merrill Lynch in a discrimination lawsuit has filed suit again, this time countersuing a former sales manager at Merrill Lynch's San Antonio office. |
Registered Rep.
April 26, 2007
Halah Touryalai |
Hydie Sumner Fired by Wachovia It's been ten years of legal wrangling with Hydie Sumner's former employer, Merrill Lynch. But today it's another firm at the center of the Sumner drama -- Wachovia Securities, which fired her yesterday. |
Registered Rep.
July 26, 2007
Halah Touryalai |
Fired Merrill Manager Promoted at New Firm So maybe his reputation wasn't so damaged after all? |
Registered Rep.
October 2, 2006
Kevin Burke |
Merrill Appoints New Board Members The financial firm announced that it has elected two new members to it board of directors, one of whom is a British human rights activist. |
Registered Rep.
March 16, 2007
Halah Touryalai |
900 Down, Only a Handful to Go--Merrill Pays One More Female Broker; Separately, Thousands of Female Morgan Stanley Reps May Settle One of the last claimants from the 1997 class-action discrimination lawsuit against Merrill Lynch collected her reward late last month. Separately, Morgan Stanley has confirmed that it settled with over 3,000 claimants but would not comment further. |
Registered Rep.
March 10, 2006
Halah Touryalai |
Stan O'Neal Meets Black Brokers; Gets Criticized for Being Sexist While Merrill Lynch executives strive to settle a class-action lawsuit alleging systemic racism on the part of the firm, when news got around that CEO Stan O'Neal, who is black, personally attended one meeting with litigants, charges of sexism abounded. |
Registered Rep.
November 23, 2005
Kevin Burke |
Mom-and-Daughter Team Wins $2 Million Arbitration Over Sex Discrimination Merrill Lynch got dinged -- again -- for allegedly mistreating its female reps. |
Registered Rep.
April 1, 2005
John Churchill |
Merrill Takes a Late Hit on Research Scandal An NASD arbitration panel ordered Merrill Lynch to pay more than $1 million to an investor last month for hiding conflicts of interest and issuing fraudulent research. |
Registered Rep.
February 1, 2006
John Churchill |
Race Discrimination Cloud Hangs Over Good Year For Merrill Lynch and UBS, allegations of widespread racial discrimination put a damper on an otherwise stellar year for the firms. Both wirehouses were named in separate lawsuits seeking class-action status raised by black brokers who allege a pattern of discrimination at the two firms. |
Registered Rep.
June 6, 2006
Halah Touryalai |
End of Settlement Talks Bring Students to Protest Against Merrill Lynch African-American college students protested in front of several Chicago-based Merrill Lynch offices one day after settlement talks between African-American reps who claim they were discriminated against and Merrill Lynch came to an end. |
Registered Rep.
July 23, 2007
Kevin Burke |
Ex-Merrill Broker Wins $1.6 Million in Rare Arbitration Award An NASD arbitration panel awarded a former Merrill Lynch broker $1.6 million for wrongful termination and defamation, claims he had filed against his former employer. |
Registered Rep.
February 24, 2012
Kristen French |
Due Diligence: Seven Years Later, Merrill Broker Discrimination Class Action Gets go Ahead The lawsuit will go to court in April, and then the judge will set a date for trial. |
Registered Rep.
August 3, 2011
Kristen French |
New Merrill Overtime Lawsuit Aims to Overturn System of Compensation, Alleged Culture of Discrimination The giant Wall Street financial firms have settled numerous overtime pay and discrimination claims over the past decade and a half, but a recent suit filed in New York represents a new twist on some old themes. |
Registered Rep.
September 19, 2006
John Churchill |
Merrill's O'Neal to Be Deposed for Discrimination Suit Stanley O'Neal, chairman and CEO of Merrill Lynch, will be deposed as part of the discovery phase in a race-discrimination suit filed by one of the firm's black brokers. |
Registered Rep.
August 1, 2004
John Churchill |
Where the Women At? What makes the brokerage business such a stubbornly male-oriented place, and will it ever be a place in which women can feel comfortable? Includes a look at ten women that broke through the glass ceiling. |
Registered Rep.
September 29, 2006 |
Stan O'Neal: Call Your Managers in Brazil |
Registered Rep.
December 6, 2002
Rick Weinberg |
Merrill Lynch Wins, Suit Dismissed by NASD Arbitration Panel Merrill Lynch won the dismissal of a $10.4 million suit filed by an investor. |
Registered Rep.
November 6, 2008 |
Bank Of America To Sign Protocol, Herd Still Weighing Options Bank of America intends to sign the so-called "broker protocol," an agreement signed by most of the brokerage firms and RIAs stipulating what client information is acceptable for a departing financial advisor to take without getting sued by the former employer. But when? |
Investment Advisor
November 2009
Kathleen M. McBride |
Merrill's Big Plans The importance of culture at the organization is what Sallie Krawcheck spoke of at her first press conference as president of Global Wealth Management & Investment Management at Bank of America Merrill Lynch. |
On Wall Street
April 1, 2010
Howard J. Stock |
Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch. |
Registered Rep.
March 23, 2006
Kristen French |
Merrill To Gorman: Quit Poaching Our Reps And BOMs Is James Gorman, the new head of retail at Morgan Stanley, brazenly poaching employees from his old firm, Merrill Lynch? A judge apparently thinks so. |
Registered Rep.
June 2, 2003
David A. Gaffen |
Vermont Judge Rules Against a Merrill TRO A federal judge in Vermont has ruled against Merrill Lynch's attempt to prevent two former brokers from contacting clients they held while at the firm. |
Registered Rep.
October 23, 2007
John Churchill |
Pre-Earnings Whisper Not Good for Merrill By announcing the likelihood of a multibillion-dollar write-down in its third quarter a few weeks ago, Merrill Lynch prepared investors for dismal earnings. |
Registered Rep.
September 8, 2006
Halah Touryalai |
Merrill Discrimination Suit Moves Forward After Failed Settlement Talks The racial-discrimination suit against Merrill Lynch is under way again after settlement talks between African-American brokers and the firm came to a halt in early June. |
Registered Rep.
October 14, 2010
Kristen French |
Merrill Brokers Had "Good Reason" To Leave, And Got $1.2 ml For It Two former Merrill brokers won $1.167 million in an arbitration award from Merrill Lynch for deferred compensation benefits |
Registered Rep.
October 30, 2008 |
Merrill's Retention Package: Just For White Guys? Stowell & Friedman, a Chicago-based law firm, files a suit against Merrill Lynch claiming African-American and female brokers at the firm have been largely excluded from its retention-bonus plan. |
Registered Rep.
February 10, 2009 |
In First Media Interview, McCann Says Resignation Was At A "Logical Time" In his first interview since leaving Merrill Lynch, Robert J. McCann says he maintains good feelings for both Merrill Lynch and the timing of his departure. |
Registered Rep.
December 1, 2005
Kristen French |
Merrill Lynch: Still Wirehouse Queen Merrill reps like what they see. This year, the firm kept top honors among wirehouses in the Broker Report Card surveys, and beat its own overall score from last year. |
Registered Rep.
March 30, 2006
Kristen French |
Gorman Unrestrained Morgan Stanley retail chief James Gorman was freed by a New York State judge of the temporary restraining order that prevented him from raiding Merrill Lynch's brokerage ranks. |
Registered Rep.
October 1, 2005
Kevin Burke |
The Revenge of Mama's Boy Jay Gagne's unusual NASD victory -- few brokers have ever won an arbitration based on charges of defamation -- could establish a new line between acceptable office high jinks and illegal employment practices. |
Registered Rep.
September 20, 2005
John Churchill |
Merrill Cutting Top Brass Merrill Lynch, famous for its seemingly continual reorganizations, is at it again. Specifically, the firm is firing half of its regional directors, sources say. |
Registered Rep.
August 25, 2006
Kevin Burke |
Merrill Fighting Back Against Recent Defections The recruiting war for top brokers remains fierce. The latest evidence of the fight to win million-dollar producers involves the industry's biggest firms. |
Registered Rep.
September 1, 2005
Kristen French |
Gorman to the Rescue? Morgan Stanley brokers should expect a revolution when James Gorman takes the helm of the retail unit. |
Registered Rep.
December 11, 2002
Ross Tucker |
Merrill Program Seeks to Boost Women and Minority Advisors Executives from Merrill Lynch's global diversity group say the firm has to do a better job in retaining and boosting the performance of women and minority financial advisors. |
Registered Rep.
May 14, 2010
John Aidan Byrne |
Bank of America Still Ramping Up Merrill Branding Though it recently wrapped up a national advertising campaign for Merrill Lynch, Bank of America continues to ramp up branding of the division, with an extension of the Merrill New York Yankees sponsorship and other activities. |
Registered Rep.
June 15, 2007
Halah Touryalai |
Merrill Requests End to Discovery in Racial Discrimination Suit Registered Rep. reported in error that a judge ruled in favor of Merrill Lynch in a discrimination suit. The judge in the case has referred the decision to a magistrate judge and a ruling has yet to be made. |
Registered Rep.
March 16, 2012
Kristen French |
Due Diligence: Merrill Cost-Cutting Centers on Client Segmentation, Less Bureacracy Merrill Lynch financial advisors can expect Bank of America cost-cutting to take the form of greater client segmentation and reduced bureaucracy, said John Thiel of Merrill Lynch |
Registered Rep.
July 7, 2004
David A. Gaffen |
Merrill Shuffles Branch Managers Merrill Lynch in recent weeks has shuffled a number of branch managers to new offices. The new assignments are partially due to promotions and partially a reaction to managers leaving the firm, according to sources. |
Registered Rep.
June 11, 2008 |
Thain + You, Sittin' in A Tree Merrill Lynch CEO John Thain heaps praise upon the wealth management division during an interview. |
Registered Rep.
September 15, 2005
John Churchill |
Merrill Gets Advest Cheap Merrill Lynch reportedly paid $400 million for the purchase of the Advest Group from AXA. The purchase includes the private client group, an asset management arm and a capital markets group. According to analysts, Merrill got the firm cheap. |
Registered Rep.
June 1, 2010
John Aidan Byrne |
Bank of America Ramps Up Online Brokerage Bank of America is making a push into electronic brokerage services, a menu that includes free online trading and a new platform called Merrill Edge, set to debut in late June. Some say the new services will steal business from Merrill advisors. |
Registered Rep.
December 1, 2004
David A. Gaffen |
Merrill Watching Consolidation with Eyes Wide Open James Gorman, head of Merrill Lynch's private client group, believes the brokerage industry will continue to consolidate in the coming years. |
Registered Rep.
August 13, 2007
Halah Touryalai |
Merrill Grabs Advisors Producing $5.5 million From Rival UBS Merrill Lynch won big last week in the aggressive industry-wide recruiting war for top advisors. |
Registered Rep.
February 24, 2006
Kristen French |
Morgan Grants Stock Worth $29 Million to Gorman The grant mostly goes to replace compensation the new retail brokerage head would have earned at his previous job with Merrill Lynch, but didn't because of his resignation, according to the firm's regulatory filing. |
On Wall Street
September 1, 2009
Helen Kearney |
On Life Support a Year Ago, Merrill Pays for Top Producers Merrill, under BofA, seems to be on the hunt to add to its ranks, and it's offering a very competitive package that has almost unlimited upside for top producers. |
Registered Rep.
September 15, 2008
Kristen French |
Merrill Lynch Sells Itself To Bank of America: Update 3 The biggest question, now that BofA has agreed to buy Merrill Lynch, is what Bank of America will do to hold onto Merrill Lynch's dearest asset -- its approximately 17,000 financial advisors. |
Registered Rep.
January 1, 2003
David A. Gaffen |
Merrill Takes it To the Bank One of Merrill Lynch's major initiatives in the coming year will be to continue to attract clients to the firm's expanded banking service, known as Beyond Banking. |
Registered Rep.
August 4, 2009
French & Churchill |
Dan Sontag Departs Merrill Lynch Much beloved by Merrill financial advisors, Dan Sontag is stepping down as head of Merrill Lynch Global Wealth Management. |
