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February 06, 2016 9:31 AM ET

Capital Markets

Company Overview of Merrill Lynch, Pierce, Fenner & Smith Incorporated

Company Overview

Merrill Lynch, Pierce, Fenner & Smith Incorporated offers security brokerage and dealership services. Additionally, it provides investment advisory services. Merrill Lynch, Pierce, Fenner & Smith Incorporated was formerly known as Merrill Lynch Pierce Fenner & Smith, Inc. The firm is based in New York, New York. As of January 1, 2015, Merrill Lynch, Pierce, Fenner & Smith Incorporated operates as a subsidiary of BAC North America Holding Company.

One Bryant Park

New York, NY 10036

United States

Phone:

800-637-7455

Key Executives for Merrill Lynch, Pierce, Fenner & Smith Incorporated

Managing Director of Mid-America Market
Senior Vice President
Assistant Vice President of Global Wealth Management
Director of Wealth Management - Minnesota and North Dakota
Head of Legal for Merrill Lynch Bank (Suisse) SA
Compensation as of Fiscal Year 2015.

Merrill Lynch, Pierce, Fenner & Smith Incorporated Key Developments

Allied Wallet Seeks Acquisitions

Allied Wallet, Ltd. hired Merrill Lynch, Pierce, Fenner & Smith Incorporated (BofA Merrill Lynch) as financial advisor in connection with its exploration of potential strategic opportunities including a private placement or an initial public offering in 2016.

Koskie Minsky LLP and Siskinds LLP Announce Court Approve $32.5 Million Settlement with Underwriters in Sino-Forest Class Action

Siskinds LLP and Koskie Minsky LLP, class counsel in the Sino-Forest class action, announced that the Ontario Superior Court of Justice has approved a CAD 32.5 million settlement with Credit Suisse Securities (Canada), Inc., TD Securities Inc., Dundee Securities Corporation, RBC Dominion Securities Inc., Scotia Capital Inc., CIBC World Markets Inc., Merrill Lynch Canada Inc., Canaccord Financial Ltd., Maison Placements Canada Inc., Credit Suisse Securities (USA) LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated (collectively, the Underwriters). The Underwriters were various financial institutions that served as underwriters in one or more of Sino-Forest's public offerings of shares and notes. On October 30, 2015, Regional Senior Justice Geoffrey Morawetz made an order approving this historic settlement. The settlement agreement provides for the Underwriters to pay CAD 32.5 million in settlement of all claims arising from their dealings with Sino-Forest. The class action alleges that Sino-Forest, certain of its directors and officers, auditors and underwriters misled investors concerning the business and accounting at the collapsed timber trader. The plaintiffs include The Trustees of the Labourers' Pension Fund of Central and Eastern Canada and The Trustees of the International Union of Operating Engineers Local 793 Pension Plan for Operating Engineers in Ontario. Siskinds' securities class actions team is complemented by lawyers in Siskinds' affiliate, Siskinds, Desmeules, based in Quebec City.

Government to Sell Share in Green Investment Bank

The Government is getting ready to sell off shares in UK Green Investment Bank PLC (GIB). Advisers from Merrill Lynch, Pierce, Fenner & Smith Incorporated have been coordinating with Whitehall officials to sell a stake in GIB. The government is not expected to sell its entire stake, but it is expected to be largely privatized. The sale is likely to be undertaken privately, rather than through a stock market listing.

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