Search for: "Edward Merrill"
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15 Oct 2011, 4:43 am
Okay, look… this article is long, I know. [read post]
10 Oct 2011, 3:51 pm
FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme, FINRA, October 4, 2011 Shepherd Smith Edwards & Kantas LTD LLP is Investigating Merrill Lynch in Light of Recent FINRA Fines Against the Firm for Failure to Supervise, MarketWatch, October 5, 2011 More Blog Posts: Former Merrill Lynch Employee, Guilty of $1.4 Million Texas Securities Fraud Scheme, Receives Prison Term, Stock… [read post]
7 Oct 2011, 9:01 am
Bruce Edward Hammonds, a registered representative with the firm, used a Merrill Lynch account to operate a Ponzi scheme, luring 11 people to invest more than $1 million in Bandamp;J Partnership, an entity he ran for over 10 months, according to information released by FINRA. [read post]
17 Jul 2011, 12:05 pm
Merrill In what seems like a scene from a bad conspiracy theory film, two attorneys with the Florida Attorney General’s Office have spoken out regarding their forced resignation. [read post]
16 Jul 2011, 8:52 pm
During the FINRA hearing, witnesses testified that it was Wedbush president and founder Edward W. [read post]
14 Jul 2011, 8:43 pm
Shepherd Smith Edwards and Kantas LLP represents investors in the US and abroad. [read post]
8 Jul 2011, 2:00 am
In this post, Sonya Hubbard details the embarrassing controversy and what the agency is doing to fix it. 2) HLS Forum on Corporate Governance & Financial Regulation: If the Delaware Court of Chancery Got Airgas Right, Professor Bebchuk’s Op-Ed Got it Wrong – In this post, Stan Keller, a Partner with Edwards Angell Palmer & Dodge and Practice Center Contributor, provides a rebuttal to Professor Lucian Bebchuk’s WSJ op-ed criticizing the decision, “An… [read post]
30 Jun 2011, 8:35 pm
I guess it was just not too big to fail," says Shepherd Smith Edwards and Kantas founder and stockbroker fraud lawyer William Shepherd. [read post]
25 Jun 2011, 7:42 pm
Merrill Lynch is a unit of Bank of America Corp. [read post]
19 Jun 2011, 10:19 am
Finally, the judgment in Tasaruff Mevduati Sigorta Fonu v Merrill Lynch Bank and Trust Company (Cayman) Limited and others, heard 31 January – 1 February 2011, is due to be handed down by the Privy Council on Tuesday 21 June 2011. [read post]
20 May 2011, 9:39 am
Miller, Edward H. [read post]
2 May 2011, 11:23 pm
Matthew David Osborn, formerly with Edward Jones in Yreka, California, was suspended from association with any FINRA member for 10 business days and fined $5,000 in connection with exercising discretion in a customer account without the customer's authorization. [read post]
30 Mar 2011, 4:35 am
http://tinyurl.com/5vwgrdw (Josh Camson) Judge Have Mercy, The Dog Ate My Discovery – http://tinyurl.com/4h8w3yr (Edward Piasecki) Lawyer, Firm File Suit Over “False Review” http://tinyurl.com/4l4txw2 (Brenda Sapino Jeffreys) More Discovery Woes from Web 2.0 - http://tinyurl.com/4jz83au (Joe Dysart) Operation “Night Dragon”: A Data Breach Illuminated – http://tinyurl.com/48uczlv (Sharon Nelson, John Simek) ‘Pension Committee’ — One Year… [read post]
17 Dec 2010, 9:00 am
Some of them are the Ameriprise Financial Services, Wells Fargo Advisors, LPL Financial, and Edward Jones, Charles Schwab, Chase Investment Services, Morgan Stanley Smith Barney, Raymond James, Merrill Lynch and some others. [read post]
1 Dec 2010, 4:44 am
http://tinyurl.com/29hhxzk (Edward Crowley) Magic Quadrant is not Exactly Spell-binding. [read post]
3 Nov 2010, 5:38 am
Denise Merrill (D) O Aty. [read post]
4 Aug 2010, 4:38 am
It’s not bad enough that they’ve run non-stop ads my entire adult life to convince me that I should be investing with Paine, Merrill, Smith or Barney. [read post]
18 Apr 2010, 7:44 am
Edward Herlihy of Wachtell, Lipton, Rosen & Katz, a guest contributor to the Forum. [read post]
19 Feb 2010, 2:42 pm
According to AmLaw, the filings, which are mostly depositions of former BofA execs, show that Wachtell Lipton partners Edward Herlihy (pictured) and Nicholas Demmo agreed fairly quickly with executives and in-house counsel not to disclose Merrill Lynch’s mounting fourth-quarter 2008 losses as the merger vote approached. [read post]
19 Feb 2010, 6:37 am
Bank of America case lay bare Wachtell's advice in the Merrill Lynch merger. [read post]
