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11 Sep, 2007 3:34 am
Robert Miller over at Truth on the Market has an excellent post up on the recent Second Circuit decision in Merrill Lynch & Co., Inc. v. Allegheny Energy, Inc. The case revolves around the sale by Merrill
Lynch of its...
18 Sep, 2007 5:18 am
Robert Miller over at Truth on the Market has another post up on the recent Second Circuit decision in Merrill Lynch & Co., Inc. v. Allegheny Energy, Inc. In it he further analyzes the ramifications of and problems with 10b-5...
5 Apr 4:07 pm
Merrill Lynch & Co. must pay an investor $39.8 million in compensatory damages because of
negligence on the part of one a subsidiary broker-dealer. A Financial Industry ... Street firm. The fund's arbitration claim had accused Merrill Lynch and subsidiary Advest Inc. of misrepresentation, negligence, breach of fiduciary duty, and
breach ... recover their investments is to go through the arbitration process. Related Web Resources Merrill to Pay $40 Million in Refco Case,
Wall Street Journal, March 30 ...
7 Aug 1:54 pm
... Wednesday, Teva Pharmaceutical Industries Ltd. sued Merrill Lynch & Co., a Bank of
America Corp. unit. The pharmaceutical company's securities fraud lawsuit accuses ... own hands by filing securities fraud claims and lawsuits. These investors include Bankruptcy
Management Solutions Inc., Braintree Laboratories, Ocwen Financial Corp. Ashland ... fee arrangements differ depending upon these circumstances." Related Web Resources:
Merrill Lynch Sued By Teva, Seneca Gaming Over ARS Sales, CNN, August ...
2 Sep 2:23 pm
... investor fraud claims were filed as late as last month. Some cases discuss Merrill's involvement in the marketing, underwriting, and
selling of securitizations, or asset-backed securities. ... to asset-backed securities. Teva Pharmaceutical Industries Ltd. v. Merrill
Lynch & Co. Inc.: The pharmaceutical company plaintiff contends that it lost $5 million when investing ... N.Y., 09-cv-00704,
1/28/09 In re: Merrill Lynch & Co. Inc., Auction Rate Securities (ARS) Marketing
Litigation, Justia Docket
6 Mar 5:26 am
... January 2, 2009. On December 31, 2008, Community Trust Bank Inc. ("Community") sued Merrill Lynch for its alleged misstatements and failure to disclose certain features of ARS. ... disclose the liquidity risks involved with ARS. Blankfeld, et al. v.
Merrill Lynch & Co., et al., No. 09-CV-0162 (S.D.T.X.). Click here for a copy of the
complaint. According to the Blankfeld complaint, Amgey Investments Inc. (which is not a party to the litigation), a Texas-based corporation, purchased auction rate ...
6 Mar 12:51 am
Portfolio Media, Inc. is reporting that investment giant Merrill Lynch & Co.
Inc. is seeking $100 million in damages from rival investment firm Deutsche Bank, claiming Deutsche Bank compromised its trade secrets when it ... by a separate noncompete
agreement. According to the complaint, these employees were contractually prohibited from directly or indirectly soliciting co-workers, working for a competitors or sharing
confidential business information. David Heaton, Eric Heaton's brother and one ...
11 Feb 8:15 pm
... Scheindlin said that TGS- GS-NOPEC Geophysical Co failed to convince the court that the institutional investor would suffer irreparable harm if Merrill Lynch Pierce Fenner & Smith Inc. continues redeeming clients' ARS under the ... The company
claims that Merrill's redemption scheme is not in its favor. TGS began FINRA arbitration proceedings against Merrill in November. The company wants to repurchase its ARS with interest, recession purchases, or the actual damages of its holdings' par value. ...
20 May, 2008 2:54 pm
... analyst of the company's Internet Group is accused of allegedly issuing false reports regarding CMGI Inc. stock. In 2007, investor Ronald Ventura had filed a securities fraud
lawsuit against Merrill Lynch & Co., Merrill
Lynch, Pierce, Fenner & Smith Inc., and Blodget. Ventura is one of a number of plaintiffs that have ... Analyst Conflicts of
Interest, SEC.gov, April 28, 2003 Investor's Suit Against Merrill Over Internet Stock Dismissed, New York Law Journal, May 13, 2008
5 Jul, 2008 10:17 pm
... in collateralized debt obligations secured by subprime mortgage debt." In re Merrill Lynch &
Co., Inc., Securities, Derivative & "ERISA" Litig., ___ F.Supp.2d ... defense attorneys that the Southern District of New York was the appropriate transferee court
because "Merrill Lynch is headquartered in New York and, therefore, discovery is likely to take place
there" and because "all actions save one are already pending in that district." Id., at 1. Download PDF file In re Merrill Lynch & ...
16 Oct 5:19 am
... manipulated the auctions for ARS in order to prevent auction failures." In re Merrill Lynch &
Co., Inc., Auction Rate Securities (ARS) Marketing Litig., ___ F ... 2009) [Slip Opn., at 1]. According to the allegations underlying the class action lawsuits,
"Merrill Lynch failed to disclose that (1) ARS were not cash alternatives similar ... transferred to
that district, id., at 34. Download PDF file of In re Merrill Lynch & Co., Inc.,
Auction Rate Securities (ARS) Marketing Litigation Transfer Order ...
24 Jun, 2008 12:36 am
... , Vale accused Blodget of issuing bogus positive reports about Internet Capital Group Inc. and B2B Internet HOLDRs, an exchange traded fund. He says that he depended ...
State Attorney General's Office accused Merrill Lynch, Pierce, Fenner & Smith Inc.,
Merrill Lynch & Co. Inc., and Blodget of regularly issuing false ... findings are
similar to its "loss causation" ruling in another lawsuit against Blodget and Merrill Lynch, this one
filed by investor Ronald Ventura regarding investments he made ...
27 May 2:25 pm
... losses by association members when delivering on their funeral contract commitments to consumers. Merrill Lynch & Co. Inc, between 1986 and 1999, had marketed and sold tax-exempt variable universal life insurance policies as investments within
the pre- ... million that trustees allegedly obtained from the trust as excess management fees. According to state regulators, Merrill
Lynch Life registered representative Edward L. Schainker, who served as the association's investment advisor, ...
30 Jan 2:58 am
... million settlement for a class action suit filed against Merrill Lynch (In re Merrill Lynch & Co., Inc. Securities, Derivative and ERISA Litigation, No ... OSTRS"), represented
by the Ohio Attorney General, brought the suit in May 2008, alleging that Merrill Lynch had made
misstatements relating to its exposure to collateralized debt obligations and ... 8‑K can be found here.) The allegations by Merrill
Lynch employees were also based upon Merrill Lynch's
alleged misstatements and failures to disclose ...
24 Aug 12:49 pm
... that Merrill was prohibited from making [year-end] bonus payments." Second: The intention of Merrill Lynch & Co., Inc. ("Merrill Lynch") to pay incentive compensation for 2008 was disclosed and was part of the "total mix" ... year-end incentive compensation. There were no media or
analyst reports to the contrary. In fact, the incentive compensation that Merrill Lynch actually paid
for 2008 was precisely in line with its quarterly accruals and with this widespread and uniform market expectation. ...
22 Sep 2:26 pm
... a Texas securities fraud claim that Bank of America's Merrill Lynch, Pierce, Fenner & Smith
Inc. allowed unregistered sales persons to sell securities, the Bank of ... register only in their home state and in a neighboring state. Last week, Merrill Lynch agreed to pay the state of Texas another $12.7 million over ... -level Bank of America Corp.
executives of failing to reveal key information about its Merrill Lynch & Co. takeover.
Cuomo is threatening to press charges. Bank of America, however, ...
23 Jan, 2007 11:42 am
... who have filed lawsuits against investment banks that are accused of taking part in accounting fraud because of the Enron scandal. Merrill
Lynch is one of these banks. Attorneys for the investment bank recently requested that the SEC file a brief supporting the firm ... considered
the request, although it had won tens of millions of dollars from Citigroup Inc., Merrill Lynch, and JP Morgan Chase & Co. because of their participation in the Enron Scandal in 2003. According to AAJ Chief Executive ...
2 Mar 7:45 am
... of New York dismissed, without prejudice, a shareholder derivative action pending against Merrill Lynch's directors and officers alleging breach of fiduciary and waste of ... Lynch's exposure to subprime debt. In
re: Merrill Lynch & Co., Inc. Securities, Derivative and ERISA Litigation,
07-CV-9633-JSR (February 17, 2009 ... Delaware law, held that the shareholder plaintiffs lost standing to pursue a derivative action against Merrill Lynch's directors and officers because they no longer held Merrill
...
31 Oct, 2008 4:53 pm
... the middle of gut-wrenching times for the stock market, top-producers at Merrill Lynch &
Co. Inc. will get retention bonuses in line with recent industry deals to stay ... America Corp. In a conference call with brokers Friday afternoon, Robert McCann told
Merrill's 16,850 reps and advisers about the company's compensation plan, ... weeks. Mr. McCann, vice chairman and president for global wealth
management at Merrill Lynch, noted that a retention deal was necessary to hang onto reps and
advisers. ...
Listen Now:
19 Nov, 2008 1:19 pm
... , Francis Pileggi covered a recent Delaware Chancery Court decision regarding the merger of Merrill Lynch and Bank of America in his "Corporate & Commercial Litigation" Blog: In County of York Employees Retirement Plan v. Merrill Lynch & Co., Inc., et al., (Del. Ch., Oct. 28, 2008), this 39- ... but scholarly manner,
several preliminary issues related to the recently announced merger of Merrill Lynch and Bank of
America. The opinion is a treasure trove of Delaware corporate law ...
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