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18 Feb 3:14 pm
Merrill Lynch, Pierce, Fenner & Smith Inc has reached a $1 million settlement agreement with the Securities and
Exchange Commission over charges that the broker-dealer misled its pension consulting clients by neglecting to disclose conflicts of interest. ... SEC Charges Merrill Lynch With
Misleading Pension Consulting Clients, SEC, January 30, 2009 Read the SEC Administrative Proceeding Against Merrill Lynch, Pierce, Fenner & Smith, Inc., January 30, 2009 (PDF)
21 Oct, 2007 11:50 am
The New York Stock Exchange Regulation Inc. is disciplining nine companies and eight people for numerous violation. The firms disciplined include: Merrill Lynch, Pierce,
Fenner & Smith: Fined $100,000 for violating rule 123c about ... of the securities industry, your best bet is to retain the services
of an experienced stockbroker fraud attorney. Over the years, Shepherd Smith and Edwards has recovered the losses of thousands of investors throughout the United States. Let us
help you. Contact ...
11 Feb 8:15 pm
... that the institutional investor would suffer irreparable harm if Merrill Lynch Pierce Fenner & Smith Inc.
continues redeeming clients' ARS under the investment firm's current procedures. The judge refused to stop the redemptions and said that the geographical exploration company has
admitted ... is seeking via arbitration. TGS-NOPEC Geophysical Company v. Merrill Lynch, Pierce, Fenner & Smith, Inc.,
Federal District Court Filings and Dockets, Justia Related Web Resources: ...
1 Sep, 2008 3:52 pm
The Securities and Exchange Commission says it has reached a preliminary settlement agreement with Merrill Lynch, Pierce, Fenner &
Smith to liquidate about $8.5 billion in auction-rate securities that are still held by the firm's institutional and ... The SEC is also evaluating whether an additional fine
needs to be imposed on Merrill. Merrill, along with Goldman Sachs Group Inc. and Deutsch Bank AG, also reached an auction-rate securities market settlement with New York Attorney
General Andrew ...
20 May, 2008 2:54 pm
... 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 sued the ... , the best way to make sure that you obtain financial recovery is to contact Shepherd Smith and Edwards today. Our stockbroker fraud lawyers
have helped thousands of ...
29 May 8:02 am
... s consumer protection opinions. They are: Carrier v. Citibank (South Dakota), N.A., 180 Fed. Appx. 296; 2006 U.S. App. LEXIS 12447 (2d Cir. 2006); Dabit v. Merrill Lynch,
Pierce, Fenner, Smith, Inc., 395 F.3d 25; 2005 U.S. App. LEXIS 410; Fed. Sec. L. Rep. (CCH) ... Dist. LEXIS 3404; 1997-1
Trade Cas. (CCH) P71,753 (S.D.N.Y. 1997); Aequitron Medical, Inc. v. CBS, Inc., 1994 U.S. Dist. LEXIS 942; 22 Media L. Rep. 1622 (S.D.N.Y. 1994).
5 Sep, 2007 10:55 am
... inducement or some other independent ground that justifies recession. Not being fluent in the language, in which the contract is written, or being unable to understand the language
of the contract is not an independent defense to the contract's enforcement. See Merril, Lynch, Pierce, Fenner & Smith,
Inc. v. Benton. 467 So.2d 311, 10 Fla. L. Weekly 225 (Fla. App. 5 Dist., 1985); Kahan Novoa v. Safra Nat. Bank of New York, 313 F.Supp ...
27 Feb, 2008 10:00 am
... by Justice Kennedy,the Court, in Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc., limited such liability in private actions based on SEC Rule 10b-5. [ ...
against secondary actors in Regents of the Uni. of Cal. v Merrill Lynch, Pierce, Fenner & Smith, Inc., [38], investors
are unlikely to close the gap. Stoneridge's indirect effects ... Amici Curiae Supporting Respondents, Stoneridge Inv. Partners, LLC v. Scientific-Atlanta, Inc., 128 S. Ct. 761
(2008) (No. 06-43), 2007 WL 2329638. ...
14 Jan, 2008 6:18 pm
... be fined $200,000: Lehman Brothers Inc. Broadpoint Capital Inc. Merrill Lynch, Pierce, Fenner & Smith
Inc. CIBC World Markets Corp. UBS Securities ... & Co. LLC Thomas Weisel Partners LLC Robert W. Baird & Co. Inc Broker-dealers that agreed to be fined $150,000:
Pacific Crest Securities Inc. ... providing trading volume and interest is mandatory. The stockbroker fraud law firm of Shepherd Smith and Edwards represents investors who
have lost money because a member of the securities industry ...
11 Apr, 2007 11:00 am
... the petition include Credit Suisse First Boston LLC, Pershing LLC, Merrill Lynch Pierce Fenner & Smith Inc.,
Credit Suisse First Boston (USA) Inc ... fund lost over $144 million. It oversees $71.5 billion in assets. Shepherd Smith and Edwards represents investors who have lost
money because of the inappropriate conduct and ... the securities industry. If you are one of those investors, please contact Shepherd Smith and Edwards today for your free
consultation. University urges Enron class-action ...
24 Jun, 2008 12:36 am
... lawsuit, 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
... Attorney General's Office accused Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch & Co. Inc.,
and Blodget of regularly issuing false or ... Internet holding company CMGI. Please call the stockbroker fraud law firm of Shepherd Smith Edwards & Kantas, LLP to discuss
your investment fraud case. Related Web ...
6 Nov, 2008 6:31 am
... Tomorrow, I will discuss the effect of the Protocol agreement in court litigation. The major players, Citigroup Global Markets, Inc. (Smith Barney), Merrill Lynch,
Pierce Fenner & Smith Inc. and UBS Financial Services, Inc. entered into the Protocol for Broker Recruiting
("Protocol") in 2004. Under the Protocol, when a financial advisor leaves one signatory firm to join another signatory firm, the new employer and the departing broker ...
18 Jun, 2007 8:49 am
... case before the Supreme Court were Bear, Stearns & Co. Inc.; Citigroup Global Markets Inc.; Comerica Inc.; Deutsche Bank Securities Inc.; Fidelity
Distributors Corp.; Fidelity Brokerage Services LLC; Fidelity Investments Institutional Services Co. Inc.; Goldman, Sachs & Co.; The Goldman Sachs Group Inc.; Janus
Capital Management LLC; Lehman Brothers Inc.; Merrill Lynch, Pierce, Fenner & Smith Inc.; Morgan Stanley &
Co. Inc.; Robertson Stephens ...
18 Jun, 2007 11:49 pm
... involved in the case included Credit Suisse; Bear, Stearns; Citigroup; Comerica Inc.; Deutsche Bank Securities Inc.; Fidelity Distributors Corp.; Fidelity Brokerage
Services LLC; Fidelity Investments Institutional ... Co.; The Goldman Sachs Group Inc.; Janus Capital Management LLC; Lehman Brothers Inc.; Merrill Lynch, Pierce,
Fenner & Smith Inc.; Morgan Stanley & Co. Inc.; Robertson Stephens Inc.; Van Wagoner Capital Management
Inc.; and Van Wagoner Funds Inc. Over 900 issues were alleged ...
18 Jul 7:31 am
... SEC also settled claims against several former employees of Cardinal Health, Inc., alleging that they inflated the company's earnings by misclassifying bulk sales as
operating ... Court recently drew in Stoneridge Investment Partners LLC v. Scientific-Atlanta, Inc. [34] Subsequently, the court solicited briefs from the parties and amici in
connection with the defendants' ... 2009), here. (go back) [18] In the Matter of Merrill Lynch, Pierce, Fenner & Smith
Inc., File No. 3-13407 (SEC Mar. 11, 2009 ...
16 Jul, 2008 9:25 pm
... 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 Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley
& Co. Incorporated/ Morgan Stanley DW ... , 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, ...
25 Jul, 2008 7:17 pm
... submitted by market participants. Those firms include UBS Financial Services, Bear, Stearns & Co., Inc., Citigroup Global Markets, Inc., J.P. Morgan Securities,
Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co.
Incorporated/ Morgan Stanley DW ... , 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 ...
31 Jul 4:42 am
... In MICHAEL S. JOHNSON, DONNA DYMKOWSKI, PATRICIA LONG-CORREA, , -against- NEXTEL COMMUNICATIONS, INC., LEEDS, MORELLI & BROWN, P.C., ;07 CV 8473 (GBD); UNITED ... )
damages suffered." Nay ex. rel. Thiele v. Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 05 Civ. 10264, 2006 U.S.
Dist. LEXIS ... 754 N.Y.S.2d 899 (2nd Dep't 2003)); Century Pacific, Inc. v. Hilton Hotels Corp., 528 F. Supp. 2d 206, 217 (S ... 221 (S.D.N.Y. 2002)); Dover Ltd. V. A.B. Watley,
Inc., 423 F. Supp. 2d 303, 317 (S.D.N.Y. 2006 ...
29 Mar, 2007 5:51 am
... the federal Securities Litigation Uniform Standards Act (SLUSA), but granted leave to amend with respect to two of the federal claims in the class action complaint. Id. Relying on
Rowinski v. Salomon Smith Barney Inc., 398 F.3d 294 (3d Cir.2005), defense attorneys sought reconsideration on the ground ... present class action complaint contained
state and federal law claims. Relying on Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit, ___ U.S. ___, 126 S.Ct.
1503, 1514 ( ...
8 Oct, 2007 7:54 am
... and Scientific-Atlanta of engaging in sham transactions with a cable television company, Charter Communications Inc. The alleged motive was to inflate Charter's revenue by
$17 million, help meet Wall ... $2.4 billion. Others are still fighting: Merrill Lynch & Co. Inc.; Credit Suisse First Boston; Barclays Bank PLC; Pershing LLC, now a ... is
Stoneridge v. Scientific-Atlanta, 06-43. The Enron case is the Regents of the University of California v. Merrill Lynch Pierce Fenner
& Smith Inc., 06-1341.
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