SHEPHERD, SMITH, EDWARDS & KANTAS, LLP

Offices and Associates:
New York, Chicago, San Francisco, Dallas,
Houston, New Orleans, Phoenix, & Mexico City.

Main Office:
1010 Lamar, Suite 900, Houston, Texas 77002
Tel. (713) 227-2400 - Fax. (713) 227-7215

Merrill Lynch

Merrill Lynch is an enormous financial services supermarket. They serve private, institutional, and government clients, selling mutual funds, insurance, annuities, trusts, and clearing services, in addition to traditional investment banking and brokerage services. Merrill Lynch has over 50,000 employees and more than $1 trillion in assets under management.

Merrill Lynch played a role in some of the most notorious securities fraud scandals in recent years: Enron, ImClone, and the Henry Blodget/analyst misconduct scandals all involved Merrill Lynch.

To Learn More

Merrill Lynch paid $100 million to settle analyst fraud charges.
Merrill Lynch was one of the firms involved in a major settlement for analyst fraud.
Four Merrill Lynch executives were convicted for activities related to their relationship with Enron.
Merrill Lynch was fined by the NYSE related to mutual funds trading.
Misconduct at Major Brokerage Firms

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