MERRILL LYNCH PIERCE FENNER & SMITH INC.

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RBC Wealth Management grabs $1.2B team from Merrill Lynch

RBC Wealth Management, the Royal Bank of Canada's investment advisory and brokerage division, has nabbed two Merrill Lynch financial advisers with $1.2 billion in assets under administration. Dodd Newton Koeckert, who has 31 years of experience in the ...

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Investment News
June 24, 2015
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Notice to all Merrill Lynch, Pierce, Fenner, & Smith, Inc.

Customers From The Law Firm of Klayman & Toskes, P.A. NEW YORK, April 16 /PRNewswire/ -- The Law Firm of Klayman & Toskes, P.A., representing numerous Merrill Lynch, Pierce, Fenner, & Smith, Inc. ("Merrill") customers, continues to investigate and pursue ...

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Bloomberg
April 16, 2002
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Manning v. Merrill Lynch Pierce Fenner & Smith, Inc.

For appellants: Neal H. Flaster. For appellee Merrill Lynch Pierce fenner & smith, Inc.: Brad M. Elias, Andrew J. Frackman, Abby F. Rudzin (O'Melveny & Myers); Thomas R. Curtin (Graham Curtin). For appellee knight capital americas, L.P.: James H.

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njlawjournal.com
November 9, 2014
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Naked Shorts Suit Gives High Court Chance To Curb States

In a brief order, the Supreme Court added to its docket for the next term an appeal of a shareholder claim that accused Merrill Lynch Pierce Fenner & Smith Inc. and other financial firms of manipulating the price of Escala Group Inc.... To view the full ...

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Law 360
June 30, 2015
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Carlyle Entertainment Ltd. Announces Appointment of Directors, Officers and Audit Committee Members

Inc. and Merrill Lynch Pierce Fenner & Smith, Inc. From January 1998 to November 2006, Mr. Masselli has severed as the Chairman of the Board and Chief Executive Officer of Total Entertainment, Inc. Mr. Masselli was the founder of Total Entertainment ...

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marketwired.com
March 2, 2015
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Atlanta City Council authorizes infrastructure bond sale

The city has selected Merrill Lynch, Pierce, Fenner & Smith Inc. to sell the bonds over a period stretching from 2017 to 2034. The maximum interest rate will be 5.5 percent.

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The Business Journal
June 12, 2015
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TPG's Par Pharmaceutical to Offer Up to $100M in Stock in IPO

In addition, Citigroup Global Markets Inc., Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc., Deutsche Bank Securities Inc. and Evercore Group LLC are joint book-running managers while RBC Capital Markets LLC and TPG Capital BD LLC are co ...

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pevc.dowjones.com
March 13, 2015
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Fed Repays AIG's Maiden III Share

Meanwhile, last month, the Fed got rid of all the problem securities of the Maiden III portfolio as it sold off the remaining $1.9 billion bad assets to Merrill Lynch Pierce Fenner & Smith Inc., a unit of Bank of America Corp. (BAC). Maiden III is the last ...

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Yahoo Finance
July 17, 2012
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Zamansky LLC Files A FINRA Arbitration For A Family Of Puerto Rican Investors Against Merrill Lynch, Pierce, Fenner & Smith Inc.

Zamansky LLC announces it has filed a FINRA arbitration against Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") on behalf of a family of Puerto Rican investors with $5 million in alleged losses suffered in Puerto Rican municipal bonds and ...

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Benzinga
March 13, 2014
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Merrill to Pay FINRA $6 Million Over Reg SHO Violations

The Financial Industry Regulatory Authority announced Monday that it has censured and fined two divisions of Merrill Lynch — Merrill Lynch Professional Clearing Corp. and its affiliated broker-dealer, Merrill Lynch, Pierce, Fenner & Smith Inc. — a ...

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Think Advisor
October 27, 2014
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Simpson Thacher’s Kaplan helps advice on $37 billion Avago deal

Fenner & Smith Inc., Credit Suisse Securities (USA), Deutsche Bank Securities Inc., Barclays Bank and Citigroup Global Markets Inc., according to the firm. According to Avago, the company will acquire Broadcom for $17 billion in cash consideration and the ...

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Inside Counsel
July 20, 2015
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JPMorgan Chase Agents Star Gas Partners’ $300MM ABL Facility

The bank syndicate supporting the credit facility is comprised of thirteen participants, with JPMorgan Chase Bank, N.A. as Administrative Agent, Bank of America, N.A. as Co-Syndication Agent, Citizens Bank, N.A. as Co-Syndication Agent, Key Bank National ...

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abladvisor.com
July 31, 2015
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Star Gas Partners, L.P. Announces New Credit Facility and Notice of Redemption for All Outstanding Senior Notes Due 2017

July 30, 2015 15:22 ET | Source: Star Gas Partners, L.P. STAMFORD, Conn., July 30, 2015 (GLOBE NEWSWIRE) -- Star Gas Partners, L.P. (the "Partnership" or "Star Gas") (NYSE:SGU), a home energy distributor and services provider, today announced that it has ...

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GlobeNewswire
July 30, 2015
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This Week's Deals

Lee & Li, Attorneys-at-Law, served as special Taiwanese counsel to Intel. Merrill Lynch, Pierce, Fenner & Smith Inc., Wells Fargo Securities LLC, Needham & Co. LLC, Lebenthal & Co. LLC and The Williams Capital Group LP served as underwriters in the offer.

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therecorder.com
July 29, 2015
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Fitch to Rate Babson CLO Ltd. 2015-II; Issues Presale

Sources of Information: The ratings are based on information provided to Fitch as of July 30, 2015. Sources of information used to assess these ratings were provided by the arranger (Merrill Lynch, Pierce, Fenner & Smith Inc.) and the public domain.

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Market Watch
July 30, 2015
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Merrill Lynch Hit With $8.5 Million Wrongful Termination Case

In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, and thereafter amended, Claimant Keating asserted wrongful termination ... vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent (FINRA ...

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Forbes
March 1, 2013
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Ambac to Settle Securities Lawsuits

Settling underwriters include affiliates of Citigroup Inc. C-0.15 %; UBS AG; Goldman Sachs Group Inc. GS 0.09 %; J.P. Morgan Chase JPM 0.07 % & Co.; HSBC Holdings PLC; Merrill Lynch Pierce Fenner & Smith Inc., which is now part of Bank of America Corp. BAC ...

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Wall Street Journal
May 9, 2011
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SoulCycle Files for IPO, Names Melanie Whelan CEO

Underwriters for the IPO are Goldman, Sachs & Co; Merrill Lynch, Pierce, Fenner & Smith Inc; Citigroup Global Markets Inc; William Blair & Company LLC; Cowen and Company LLC; and RBC Capital Markets LLC. SoulCycle is the latest fitness industry brand going ...

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clubindustry.com
July 30, 2015
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Star Gas Partners, L.P. Announces New Credit Facility And Notice Of Redemption For All Outstanding Senior Notes Due 2017

The bank syndicate supporting the credit facility is comprised of thirteen participants, with JPMorgan Chase Bank, N.A. as Administrative Agent, Bank of America, N.A. as Co-Syndication Agent, Citizens Bank, N.A. as Co-Syndication Agent, Key Bank National ...

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The Street
July 30, 2015
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St. Luke's plans outpatient expansion

Luke’s Hospital, the region’s fifth largest hospital ranked by revenue, plans to raise $40 million in a bond offering, the proceeds of which will be used to fund expansion ... of the bonds is Merrill Lynch, Pierce, Fenner & Smith Inc. Stifel, Nicolaus ...

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The Business Journal
August 22, 2013
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Facebook, Morgan Stanley face class-action suit over IPO

which seeks class-action status, names Facebook, including Chief Executive Mark Zuckerberg and Chief financial Officer David Ebersman, along with Morgan Stanley & Co., JPMorgan Securities, Goldman Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Inc ...

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Los Angeles Times
May 23, 2012
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Fitch Withdraws Rtgs Assigned to Various Bonds Issued by Merrill Lynch, Pierce, Fenner & Smith, Inc.

Fitch Withdraws Rtgs Assigned to Various Bonds Issued by Merrill Lynch, Pierce, Fenner & Smith, Inc. Fitch Ratings withdraws the 'A+/F1+' rating assigned to the following bonds: --Merrill Lynch, Pierce, Fenner & Smith, Inc. (NY) puttable floating option ...

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Reuters
February 8, 2011
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This Week In Securities Litigation

The penalties imposed in this group of actions ranged from the maximum of $500,000, paid by seven firms which included Goldman, Sachs & Co, J.P Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Morgan Stanley & Co. LLC, Raymond James ...

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jdsupra.com
June 18, 2015
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Insider Trading – NYSE, NASDAQ Stocks Sold Today

Emcor Group (NYSE: EME) – Macinnis Frank sold 10,298 stocks at $45.95. Gabelli Dividend (NYSE: GDV) – Merrill Lynch, Pierce, Fenner & Smith Inc. sold 164 stocks at $18.08. Nacco Industries (NYSE: NC) – Kelly Martha sold 500 stocks at $49.75.

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Fx Pips
August 31, 2015
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Fitch Withdraws Rating Assigned to Merrill Lynch, Pierce, Fenner & Smith, Inc. PFLOATs Series MT-628

NEW YORK--(BUSINESS WIRE)--Fitch Ratings withdraws the 'AA-/F1+' rating assigned to the Merrill Lynch, Pierce, Fenner & Smith, Inc. (NY) puttable floating option tax-exempts receipts series MT-628. The bond is no longer considered by Fitch to be relevant ...

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Business Wire
February 17, 2011
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TPG's Par Pharmaceutical to Offer Up to $100M in Stock in IPO

In addition, Citigroup Global Markets Inc., Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc., Deutsche Bank Securities Inc. and Evercore Group LLC are joint book-running managers while RBC Capital Markets LLC and TPG Capital BD LLC are co ...

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pevc.dowjones.com
March 13, 2015
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Exchange Act Case Before High Court Will Have Wide Reach

Merrill Lynch Pierce Fenner & Smith Inc. Merrill contends that federal courts have jurisdiction over the case under Section 27 of the Securities Exchange Act of 1934 (“the Exchange Act”) because Manning’s state-level causes of action allege ...

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Law 360
September 1, 2015
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Form 4 GABELLI DIVIDEND & INCOM For: Aug 25 Filed by: MERRILL LYNCH, PIERCE, FENNER & SMITH INC.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). ** Intentional misstatements or omissions of facts constitute ...

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StreetInsider
August 27, 2015
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Frederick N.C. Jerauld III, retired stockbroker

From 1956 to 1960, he served as an officer in the Marine Corps. Upon his return to Buffalo in 1960, Mr. Jerauld worked at the brokerage firm of Merrill, Lynch, Pierce, Fenner & Smith Inc., moving on in 1974 to positions at Dominick & Dominick and then ...

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Buffalo News
April 25, 2014
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Wells Fargo binges on Morgan Stanley recruits

Ms. Scavone began her career at Merrill Lynch Pierce Fenner & Smith Inc. in 1981. Mr. Bates began his career in 2006, Finra records show. (See who's left Morgan Stanley this year) Wells Fargo has around 15,300 advisers, approximately 11,000 of whom are in ...

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Investment News
August 21, 2014
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Merrill Lynch Fined $1.9M Over Bankrupt GM Debt Sales

Law360, New York (December 16, 2014, 11:57 AM ET) -- The Financial Industry Regulatory Authority on Tuesday said it has fined Merrill Lynch Pierce Fenner & Smith Inc. $1.9 million and ordered it to pay more than $541,000 in restitution after Merrill Lynch ...

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Law 360
December 16, 2014
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Pioneer prices senior notes offerings

JP Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Inc. as senior co-managers, and BMO Capital Markets Corp., Mitsubishi UFJ Securities (USA) Inc., RBC Capital Markets LLC, SG Americas Securities LLC, and UBS Securities LLC as co-managers.

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OIL&GAS FINANCIAL JOURNAL
December 1, 2015
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FINRA fines 10 banks over Toys R Us IPO conduct

Deutsche Bank Securities Inc.; Merrill Lynch Pierce Fenner & Smith Inc.; Morgan Stanley & Co.; and Wells Fargo Securities were fined $4 million each. Needham & Co. was fined $2.5 million. JPMorgan Chase and Credit Suisse declined to comment. The other ...

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North Jersey
December 11, 2014
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Fitch Withdraws Rtgs Assigned to Various Bonds Issued by Merrill Lynch, Pierce, Fenner & Smith, Inc.

Fitch Withdraws Rtgs Assigned to Various Bonds Issued by Merrill Lynch, Pierce, Fenner & Smith, Inc. Fitch Ratings withdraws the 'A+/F1+' rating assigned to the following bonds: --Merrill Lynch, Pierce, Fenner & Smith, Inc. (NY) puttable floating option ...

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Reuters
January 21, 2011
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Hot apartment market presents $375M opportunity for Landmark Apartment Trust

Merrill Lynch Pierce Fenner & Smith Inc. and Citigroup Capital Markets Inc. are acting as joint book-running managers for the IPO. Want more Tampa Bay business news in your inbox? Sign up for our email newsletters. Margie Manning is Print Editor of the ...

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The Business Journal
May 20, 2015
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Form 4 BLACKROCK MUNICIPAL 2018 For: Dec 26 Filed by: MERRILL LYNCH, PIERCE, FENNER & SMITH INC.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). ** Intentional misstatements or omissions of facts constitute ...

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StreetInsider
December 30, 2014
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Bank of America Finishes Merger of Merrill Lynch Into Parent

Bank of America Corp., the second-largest U.S. lender by ... entity ends Merrill Lynch’s need to file separate regulatory disclosures. Merrill Lynch, Pierce, Fenner & Smith Inc., the firm’s broker-dealer unit, will continue to exist as a subsidiary ...

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Bloomberg
October 1, 2013
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Downtown Chicago office vacancy rises

Madison St. and a 108,280-square-foot lease expiration by Merrill Lynch Pierce Fenner & Smith Inc. at 440 S. LaSalle St. Still, demand for the best space in high-end buildings is especially strong, and loft space in the hot River North market is scarce.

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Crain's Chicago Business
April 1, 2014
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Shares of Gilead rally on $10 billion bond pricing

Merrill Lynch, Pierce, Fenner & Smith Inc. and J.P. Morgan Securities LLC are acting as joint book-running managers. The deal is in six tranches with maturities spanning 3 years to 31 years and is expected to close on Monday. Gilead's stock rose more than ...

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Market Watch
September 10, 2015
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Ninth Freddie Mac Guaranteed Multifamily Small Balance Loan Securitization Prices

Merrill Lynch, Pierce, Fenner & Smith, Inc. Co-Manager: J.P. Morgan Securities LLC and Wells Fargo Securities, LLC 155 mortgages originated by Arbor Commercial Mortgage, LLC and Greystone Servicing Corporation, Inc. SB9 Preliminary Offering Circular ...

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Financial Content
December 9, 2015
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BofA’s Merrill Settles Black Advisors’ Suit For $160 Million

The cases are McReynolds v. Merrill Lynch, 11-01957, U.S. Court of Appeals for the Seventh Circuit (Chicago), and McReynolds v. Merrill Lynch Pierce Fenner & Smith Inc., 05- cv-06583, U.S. District Court, Northern District of Illinois (Chicago).

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Financial Advisor Magazine
August 28, 2013
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BofA Settles Black Advisers’ Bias Suit for $160 Million

The largest previous race-bias settlements were $192.5 million by Coca-Cola Co. in 2001 and $176 million by Texaco Inc. in 1997, according to data complied by Bloomberg ... and McReynolds v. Merrill Lynch Pierce Fenner & Smith Inc., 05-cv-06583, U.S ...

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Bloomberg
August 28, 2013
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