Search for: "Michael Merrill"
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22 Sep 2022, 8:41 am
Isaac Stewart Merrill Lynch, Pierce, Fenner & Smith Incorporated Gregory Williams Presidential Brokerage, Inc. [read post]
30 May 2012, 5:48 pm
Merrill, p. 252 [read post]
31 Aug 2007, 10:38 am
• Jason Velasco's got a new gig, as veep of client services at Merrill Corp. [read post]
21 May 2021, 10:23 am
The 2015 and 2018 ITG settlements involve the types of misconduct that Michael Lewis warned about in Flash Boys, his bestselling 2014 exposé of high-speed trading. [read post]
19 Mar 2009, 4:00 am
With all of the focus in the United States on the collapse of Bear Stearns, AIG, Lehman Brothers, and Merril Lynch, we may be a bit myopic in not noticing other issues around the world. [read post]
2 May 2011, 11:23 pm
Mission Securities Corporation in San Diego, California, was expelled from FINRA membership and Registered Principal, Craig Michael Biddick in Rancho Santa Fe, California, was barred from association with any FINRA member. [read post]
5 Aug 2008, 3:36 pm
In a letter written to Michael Sharp, general counsel of Citigroup's wealth-management arm, an official in Mr. [read post]
22 Sep 2009, 6:23 am
(Editor's Note: This post is based on a Gibson, Dunn & Crutcher LLP client memorandum by Michael Bopp and Aditi Prabhu.) [read post]
12 May 2022, 6:11 am
Think of Michael J. [read post]
5 Dec 2011, 6:30 am
(Thomas Merrill previewed the case for this blog last week.) [read post]
10 Jan 2018, 4:40 pm
Galdamez AXA Advisors, LLC Michael D. [read post]
19 Apr 2010, 2:12 pm
Among the firms that created mortgage deals that soon went sour were Deutsche Bank, UBS, and Merrill Lynch & Co., now owned by Bank of America Corp. [read post]
12 Dec 2011, 6:20 am
At UPI, Michael Kirkland previews the issues in Reichle v. [read post]
19 Apr 2019, 5:33 am
Insurance Agency Guillory, Michael Financial West Group The Shemano Group, Inc Hamm, Brandon Wells Fargo Clearing Services Hartigan, John Entrustpermal Securities LLC Calyon Financial Inc Jones, Marques Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Merlo, Robert Allstate Financial Services Pruco Securities Norris, Timothy BMO Harris Financial Advisors… [read post]
7 Jan 2008, 7:07 am
She has served as a mediator or arbitrator in the Wellington Asbestos Claims Facility, the Dalkon Shield Trust, the Merrill Lynch Settlement Program, ICANN domain names disputes, United Educators education disputes and a wide variety of other public and private matters. [read post]
31 Jul 2009, 4:42 am
In MICHAEL S. [read post]
13 Oct 2011, 7:58 pm
SEC Files Emergency Action to Halt Green-Product Themed Ponzi Scheme, SEC.gov, October 6, 2011 3 New York Men Arrested In Alleged Landscaping Ponzi Scheme, The Wall Street Journal, October 6, 2011 SEC Claims Author Used Ponzi Scheme to Repay Prior Fraud Victims, Bloomberg Businessweek, October 6, 2011 More Blog Posts: SEC Chairman Criticized For Allowing Ex-Commission Official that Benefited from the Bernard Madoff Ponzi Scam to Help Craft Policy Regarding Victims’ Compensation,… [read post]
16 Jun 2020, 6:40 am
According to FINRA Disciplinary actions for May 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS George Belesis Portfolio Advisors Alliance, LLC John Thomas Financial Dustin Blount MML Investors Services, LLC Northwestern Mutual Investment Services, LLC… [read post]
2 Dec 2015, 5:07 am
Briefly: In his column for Bloomberg View, Noah Feldman discusses Merrill Lynch, Pierce, Fenner, & Smith v. [read post]
7 Dec 2020, 5:46 am
Rick Merrill, CEO, Gavelytics, Santa Monica, CA. [read post]
