Newsmakers
Bryn Mawr Capital Management Names Bank of New York Mellon’s Jasmine Yu CIO
Yu joins the WSFS Financial-owned firm to lead its investment strategy and solutions team.
Tag: Merrill Lynch
Regulation
SEC, CFTC Fine 11 Financial Firms Nearly $2 Billion for Recordkeeping Failures
The regulators say the violations impeded their ability to conduct investigations.
Newsmakers
Stock Loan Tiff: 4 Allocators’ Case Against Wall Street Firms Advances
Plans for Iowa, Los Angeles County and two other California counties seek class action standing against Goldman and four others.
Trade War Could Trim Economic Growth, Study Says
It also risks pushing the US and the world into a recession, BofA Merrill warns.
SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
Firm ordered to pay nearly $16 million for ‘deceiving’ customers.