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Human Capital & Careers
Salary Transparency’s Impact On the Future of Labor
With salary ranges being required in more areas, how can executives use these new laws to better their hiring practices?
By
Adam Zaki
| February 3, 2023
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Merrill Lynch
Risk & Compliance
Merrill Lynch Fined $8M Over ADR Trades
"An entity like Merrill may not avoid liability by using another broker to obtain fraudulently issued ADRs on its behalf," the SEC says.
By
Matthew Heller
| March 25, 2019
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Risk & Compliance
SEC Hit Record Enforcement Highs in 2016
The SEC broke records for single-year enforcement actions filed and total dollars gained from forfeitures.
By
Sean Allocca
| October 13, 2016
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Technology
Microsoft, BAML Team Up on Blockchain Project
“We thought this would be a good opportunity to streamline the way trade transactions are processed," Merrill says.
By
Matthew Heller
| September 27, 2016
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Risk Management
Merrill Lynch Fined $12M Over Flash Crashes
The SEC says Merrill's erroneous order controls were ineffective, causing the stock prices of 13 companies to fall sharply.
By
Matthew Heller
| September 27, 2016
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Risk & Compliance
Merrill Lynch to Pay Record Customer Protection Fine
The Bank of America unit violated broker-dealer rules that require customer cash and securities be safeguarded in case a firm fails.
By
Matthew Heller
| June 23, 2016
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Risk & Compliance
Pharma Exec Shkreli Accused of Hedge Fund Fraud
Martin Shkreli raided his pharmaceutical companies to cover up his hedge fund trading losses, said federal prosecutors.
By
Matthew Heller
| December 18, 2015
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Risk & Compliance
Merrill Can’t Ditch Suit Over Advice to Zale
A Delaware judge finds investors may sue Merrill for failing to disclose a potential conflict during Zale's sale to Signet Jewelers.
By
Matthew Heller
| October 2, 2015
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Risk & Compliance
SEC Fines Muni Bond Underwriters $9.3M
Major U.S. investment banks sold municipal bonds using offering documents that contained materially false statements or omissions, the SEC says.
By
Matthew Heller
| June 18, 2015
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Risk & Compliance
Bank of America Gives Shareholders “Meaningful Access”
The financial institution becomes the latest to adopt proxy access rules at the urging of large pension funds.
By
Katie Kuehner-Hebert
| March 23, 2015
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Corporate Finance
King World All Talk?
Perpetually on the verge of mulling an acquisition, King World insists it's a serious player.
By
Joseph McCafferty
| March 1, 1999
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