Tagged with "Bank of America"

Merrill Lynch / Bank of America Changes Broker Bonus Payments for 2015

Posted on December 28th, 2014 at 6:40 PM

Merrill Lynch has told its brokers that they will receive higher bonus payments in 2015 for attracting new clients and assets, but will eliminated pay for servicing clients with less than $250,000 in assets. 

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Merrill Lynch / Bank of America Wants Former Reps to Return to Merrill

Posted on December 27th, 2014 at 1:33 PM

Merrill Lynch is offering former brokers 400% transition deals to return to the firm and sing its praises.

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I cannot thank you enough for your efforts. You have proven to be a valuable resource

Jim T.


February 23, 2024
Advisor Accepts Industry Bar Amid FINRA Probe into Outside Business Activities

John A. Dougherty, a veteran advisor with 23 years of experience, agreed to an AWC (Acceptance, Waiver, and Consent) after refusing to cooperate with a regulatory investigation into allegations of undisclosed outside business activities.

February 22, 2024
Key Considerations for Advisors When Assessing the Financial Soundness of Annuities

While rating agencies like Fitch and S&P Global Ratings generally highlight the strength of annuity issuers, advisors still should scrutinize certain factors in their assessment process.

February 21, 2024
SEC Alleges Fraud Against Morgan Stanley and Former Executive in Block Trading Business

As reported by the Wall Street Journal, the Securities and Exchange Commission (SEC) has charged Morgan Stanley & Co. LLC and its former head of equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information related to block trades.