Search for: "Mark Fenner"
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31 May 2024, 11:49 am
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
30 Jan 2024, 9:02 pm
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1] This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
22 Sep 2023, 2:24 pm
The claimant requested $158,000 and the dispute is currently marked as settled for $10,000. [read post]
22 Sep 2023, 2:24 pm
The claimant requested $158,000 and the dispute is currently marked as settled for $10,000. [read post]
22 Sep 2023, 2:24 pm
The claimant requested $158,000 and the dispute is currently marked as settled for $10,000. [read post]
20 Jun 2023, 7:26 am
Morgan Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Kenneth Wade Cetera Advisors Networks LLC PFS Investments Inc. [read post]
9 Mar 2023, 3:59 am
In re Merrill Lynch, Pierce, Fenner, and Smith, Inc., 828 F.2d 1567, 1571, 4 U.S.P.Q.2d 1141, 1143 (Fed. [read post]
28 Feb 2023, 7:41 am
Mark Boucher Strategic Wealth Advisor Group Services Inc. [read post]
12 Sep 2022, 3:48 am
See, e.g., In re Merrill Lynch, Pierce, Fenner & Smith, Inc., 828 F.2d 1567, 4 USPQ2d 1141, 1143 (Fed. [read post]
1 Aug 2022, 1:39 pm
, In re Merrill Lynch, Pierce, Fenner, & Smith, Inc., 828 F.2d 1567, 1569 (Fed. [read post]
17 Oct 2021, 8:19 am
Below the fold are the results of the 2021-2022 Law Professor Twitter Census. [read post]
4 Jan 2021, 12:05 pm
Morgan Securities LLC Jon Foster Wells Fargo Clearing Services, LLC Mark Grenier David Lerner Associates, Inc. [read post]
17 Sep 2020, 2:40 pm
Below the fold are the results of the 2020-2021 Law Professor Twitter Census. [read post]
29 Jul 2020, 12:44 pm
Mark Garfinkel Oppenheimer & Co. [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended 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 Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor Networks LLC … [read post]
20 May 2020, 2:25 pm
According to FINRA Disciplinary actions for January 2020, the following individuals were suspended 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 Bressman, Michael FCG Advisors, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Dannenberg, Stephanie Dineen, Mary Ann UBS Financial… [read post]
8 May 2020, 4:10 am
Cir. 2009).The Board was first required to determine the degree of descriptiveness of the proposed mark. [read post]
13 Sep 2019, 7:25 am
Below the fold are the results of the 2019-2020 Law Professor Twitter Census. [read post]
19 May 2019, 1:05 pm
Cir. 2016); see In re Merrill Lynch, Pierce, Fenner, and Smith, Inc., 828 F.2d 1567, 1571 (Fed. [read post]
26 Apr 2019, 4:00 am
., 559 U.S. 662, 681 (2010) (internal quotation marks omitted). [read post]
