Search for: "A. G. Edwards & Sons, Inc."
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17 Mar, 2008 6:40 pm
Three A.G. Edwards & Sons Inc. brokers are being ordered to pay $750,000 in fines
for their participation in a market-timing scheme that involved mutual funds that benefited certain customers. The brokers, Thomas Bridge, ... misconduct of any kind is wrong-especially
when it negatively affects the money of investors. The law firm of Shepherd Smith and Edwards is dedicated to fighting for investors who do
lose money from this type of misconduct and helping them recover their losses. Related Web ...
13 Nov, 2007 4:40 am
... offering (IPO) underwriters alleging violations of the Sherman Act "by agreeing to charge all corporations conducting mid-size IPOs who used their services a fee equal to seven
percent of the proceeds of the offering." Cordes & Co. Fin. Services, Inc. v. A.G. Edwards
& Sons, Inc., 502 F.3d 91, 94-95 (2d Cir. 2007). Plaintiffs' assignees (Cordes) assumed control of the class action litigation ...
29 Sep 2:58 pm
The SEC found that Thomas C. Bridge, a salesperson formerly associated with broker-dealer A.G. Edwards & Sons, Inc., violated antifraud provisions in connection with trading in mutual funds on behalf of a client who engaged in market
timing. The Commission...
29 Dec, 2006 10:44 am
... stockholders are selling 1,750,000 shares.Morgan Stanley & Co. Incorporated is acting as the sole book-running manager for the offering and Lehman Brothers Inc. is acting
as co-lead manager. In addition, Wachovia Capital Markets, LLC and A.G. Edwards & Sons,
Inc. are acting as co-managers of the offering. A copy of the prospectus relating to this offering may be obtained by contacting Morgan Stanley & Co. Incorporated, ...
5 Jul, 2007 10:37 am
... 423 N.E.2d 831, 834, 836-37 (Ohio 1981). Oklahoma: Edwards v. Basel Pharmaceuticals, 933 P.2d 298, 300-01 (Okla. ... learned intermediary
rule in strict liability). Pennsylvania: Coyle v. Richardson-Merrell, Inc., 584 A.2d 1383, 1385 (Pa. 1991); Baldino v. Castagna, 478 A ... 5, 2000). Puerto Rico: Guevara v.
Dorsey Laboratories, Division of Sandoz, Inc., 845 F.2d 364, 366 (1st Cir. 1988); Pierluisi v. ... Squibb & Sons, Inc., 440 F. Supp. 691, 694-95 (D.P.R. 1977).
South Carolina: Odom v. G.D. Searle ...
14 Oct 1:06 pm
... C Realty Corp. (Revere, MA; Cecilia Ramirez, President) C.p.g. Sales & Marketing Management, Inc. (Chatham, MA; James O'connell, President) Cac Consultants,
Inc ... (Lowell, MA; Ebenezer Akotey, President) Charles River Design Build, Inc. (Wellesley Hills, MA; Edward Loughran, President) Chelsea Enterprises Construction
Company (Brockton, MA; Manuel Tenezaca ... Inc. (Palmer, MA; Ghada Ghrear, President) D&B Sons Inc. (Wareham, MA; Salman Dar, President) D&E 11 River
Corporation (Wellesley, ...
20 Mar 2:05 am
... 2d 789 (5th Cir. 1988). Maine: Porter v. Pfizer Hospital Products Group, Inc., 783 F.Supp. 1466, 1475 (D. Me. 1992). Maryland: Gourdine v. ... Inc., 927 F.2d 187,
191-93 (4th Cir.1991); Chambers v. G.D. Searle & Co., 441 F.Supp. 377, 381-82 (D. ... Inc., 533 N.E.2d 748, 753 (Ohio 1988). Oklahoma: Edwards v. Basel Pharmaceuticals, 933 P.2d 298, 303 (Okla. 1997). Oregon: McEwen ... D.P.R. 1984). Rhode Island: Castrignano v. E.R. Squibb & Sons,
Inc., 546 A.2d 775, 782 (R.I. 1988); Castrignano v. E.R. ...
29 Nov, 2004 7:18 am
... .'s inability to overcome her alcohol and drug addictions and to provide a safe home for her son. In terminating parental rights, the court found that DYFS provided
C.H.G. with ... et al. Summary:LEFELT, J.A.D. Plaintiffs Maureen Grasso and R.G. Grasso, Jr., Inc. appeal from two judgments: (1) upholding Spring Lake Heights
Borough's ... the filing date of the amended complaint. Docket No.: a4419-03Decided: 2004-11-24Caption: EDWARD K. WOODWORTH v. PETER E. JOYCE Summary: WINKELSTEIN, J.A.D. The
issue ...
24 Jul, 2007 2:06 pm
... even scored above average in customer satisfaction. Two other large retail operations, Citigroup Inc.'s Smith Barney unit and UBS, ranked below average. St. Louis ...
Edward Jones ranked first in the survey for the third consecutive year. A.G. Edwards and
Sons, another St. Louis-based company, ranked second. Wachovia, which placed just behind Merill at fifth in the survey, is in the process of acquiring A.G. Edwards to become second to Merrill in number of retail brokers. Shepherd Smith and Edwards ...
15 Mar, 2007 6:54 am
... between the parties. Some other prior cases involving the breadth of arbitration were discussed here. In A.G. Edwards & Sons, Inc. v. Harriet Dublon, the plaintiff claimed losses in two financial accounts (investment and trust) ... to the trust. The
arbitration language in the investment account agreement stated "that all controversis between the undersigned and Edwards... that may arise
for any cause whatsoever shall be determined by arbitration..." The 4th DCA distinguished a prior case where ...
15 May, 2008 9:58 am
... a class B felony or child molesting as a class C felony charges. See, e.g., Anderson, 674 N.E.2d at 188. For the foregoing reasons, we reverse Childs's ... property tax
exemptions. Concluding that the trial court properly granted the motion to dismiss, we affirm." Michelle & Edward Rau, et al v. Homeowners of Mallards Landing Inc. ...
those reasons, the trial court's decision is affirmed." Koehring & Sons, Inc. v. Starks Mechanical, Inc. (NFP) - "Trial Rule 75(A)(4) establishes preferred
venue ...
16 Jul, 2008 9:25 pm
... objectives were income and preservation of capital. Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P.
Morgan Securities, Inc., Lehman Brothers ... , Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc., RBC Dain Rauscher Inc., A.G. Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc.,
Wachovia Capital Markets, LLC, and Bank of America Securities LLC. The firms knew, or certainly should have known, that ...
25 Jul, 2008 7:17 pm
... on the bids submitted by market participants. Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. Morgan
Securities, Inc., Lehman ... , Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc., RBC Dain Rauscher Inc., A.G.
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank
of America Securities LLC. In addition to their misrepresentation claims, many auction rate ...
20 Sep, 2007 1:16 am
... Perform Under Contract Terms, Not Entitled to Payment; Judgment Denied Techcon Contracting Inc. v. Incorporated Village of Lynbrook NASSAU COUNTY Workers' Compensation Law
Plaintiff Fails ... SIF Makes Showing of Entitlement to Summary Judgment Commissioners of State Ins. Fund v. IMR Inc. NASSAU COUNTY Family Law Court Finds Mother Better Suited to
Be Physical Custodian ... in IPO Action Cordes & Co. Financial Services Inc. v. A.G. Edwards & Sons Inc. U.S. DISTRICT COURT SOUTHERN DISTRICT OF NEW ...
21 Sep, 2007 1:53 am
... Perform Under Contract Terms, Not Entitled to Payment; Judgment Denied Techcon Contracting Inc. v. Incorporated Village of Lynbrook NASSAU COUNTY Workers' Compensation Law
Plaintiff Fails ... SIF Makes Showing of Entitlement to Summary Judgment Commissioners of State Ins. Fund v. IMR Inc. NASSAU COUNTY Family Law Court Finds Mother Better Suited to
Be Physical Custodian ... in IPO Action Cordes & Co. Financial Services Inc. v. A.G. Edwards & Sons Inc. U.S. DISTRICT COURT SOUTHERN DISTRICT OF NEW ...
14 Oct, 2008 12:54 pm
... security sales practices by subsidiaries of Wachovia Securities. - $45 million in charges related to Prudential's acquisition of A.G.
Edwards & Sons Inc., St. Louis. Click here for Prudential Financial balance sheet for year ends 2005-2007 compiled from SEC
filings. Prudential Financial, Inc. is the parent of structured annuity issuer The Prudential Insurance Company of America and guarantor of Pruco Assignments Corporation when non
qualified ...
20 Nov, 2007 1:35 am
... Ninth Circuit have split over whether the FLSA preempts duplicative state law claims. Compare Takacs v. A.G. Edwards & Sons, Inc., 444 F.Supp.2d 1100, 1116-18 (S.D.Cal.2006) (concluding that state claim was not preempted by FLSA), and Bahramipour v.
Citigroup Global Mkts., Inc., No. C 04-4440, 2006 WL 449132, at *4-7 (N.D.Cal. Feb. 22, 2006) (same), with Flores v. Albertson's Inc., No. CV 01-00515, 2003 WL 24216269,
at *5-6 (C.D.Cal. Dec. 9, 2003) (deeming ...
19 Nov 12:13 pm
... of the United States Supreme Court decision Hall Street Associates, LLC v. Mattel, Inc. 128 S.Ct. 1396 (2008) and the Fifth Circuit ruling in Citigroup Global Markets,
Inc. v. Bacon, 562 F.3d 349 (5th Cir. 2009). So, after conquering some initial, mild trepidation about my first guest-blogging experience, ... Section 10(a)(4) of the FAA as an
alternative basis for relief. The court in Brabham v. A.G. Edwards & Sons, Inc.,
376 F.3d 377 (5th Cir. 2004) clarified that the " ...
11 Sep, 2007 10:01 am
... didn't preclude them from adequately representing the class. The district court erred in concluding that the fact-of-injury issue didn't pose a question common to all class members.
Cordes & Co. Financial Services, Inc. v. A.G. Edwards & Sons, Inc., No.
06-2143 (2d Cir. Sept. 11, 2007). The court remanded with instructions to reconsider certification under Rule 23(b)(3). The case involves allegations that a bunch of initial public ...
11 Aug, 2008 9:20 pm
... at periodic auctions based on the bids submitted by market participants. Those firms accused have included UBS, Bear, Stearns, Citigroup, Lehman Brothers, Merrill Lynch, RBC Dain
Rauscher Inc., A.G. Edwards & Sons, Inc., Piper Jaffray , SunTrust Capital
Markets , and Bank of America Securities as well as Morgan Stanley, JP Morgan and Wachovia Securities. In addition to their alleged misrepresentations, regulators and clients are
pursuing ...
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