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13 May 2024, 9:05 pm
A contributing factor has been the expectation and demand of regulators during a crisis that the larger or healthier banks acquire the assets of the weaker or failing banks to save the banking system (see Tahyar, 2018, page 28 on Henry Paulson pressuring the BoA to acquire Merrill Lynch)[5]. [read post]
9 Apr 2024, 9:01 pm
Background The debtors—Yellow Corporation (“Yellow Corp. [read post]
6 Feb 2024, 1:39 pm
Merrill Lynch, Pierce, Fenner & Smith, 421 N.Y.S.2d 847 (1979), the New York Court of Appeals held that a forfeiture-for-competition clause is unenforceable if an employee is terminated without cause (though there has been some debate in recent decades about the extent of the decision’s reach). [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]
28 Dec 2023, 10:22 am
District Court for the Southern District of Florida in Merrill Lynch, Pierce, Fenner & Smith v. [read post]
27 Dec 2023, 8:45 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louis Pellegriti Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Sarria Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Incorporated Daniel Snodgrass BCG Securities, Inc. [read post]
15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
14 Nov 2023, 9:01 pm
In addition, the SEC obtained judgments from federal courts ordering: Danske Bank, a multinational financial services corporation, to pay a $178.6 million civil penalty to resolve charges that it misled investors about its anti-money laundering compliance program and failed to disclose risks posed by the program’s significant deficiencies; and Vale S.A., a mining company and one of the largest iron ore producers in the world, to pay $55.9 million combined in a civil penalty,… [read post]
26 Oct 2023, 8:35 am
Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce ,Fenner & Smith Incorporated Steven Thompson Network 1 Financial Securities Inc. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
22 Sep 2023, 2:24 pm
From 2012 to 2015, Stratman reportedly was registered as a broker and investment adviser with Merrill Lynch, Pierce, Fenner & Smith Incorporated, in Torrance, California. [read post]
20 Aug 2023, 9:01 pm
Sometimes, the corporation made no public statement about the specifics of the underlying event before it transpired, but plaintiffs nonetheless assert that general statements—such as statements about corporate policies or business risks—propped up the share price until the negative event revealed those statements to be false. [read post]
4 Aug 2023, 7:34 am
According to FINRA Disciplinary actions for July 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridget Fernandez UBS… [read post]
14 Apr 2023, 9:24 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ikenna Ubaka FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
27 Mar 2023, 9:01 pm
We review a number of significant developments in Delaware corporate law, including the Court of Chancery’s clarification of directors’ oversight duties, and the Delaware General Assembly’s expansion of Section 102(b)(7) of the Delaware General Corporation Law to include exculpation of officers for personal liability arising from breaches of the duty of care. [read post]
6 Feb 2023, 9:05 pm
Large financial firms such as Merrill Lynch, Morgan Stanley, and UBS have started sustainable-investing platforms for their advisers, and they and others are increasingly relying on commercially available ESG data and ratings to gauge companies’ ESG performance. [read post]
28 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
21 Nov 2022, 9:02 am
Merrill Lynch Pierce, Fenner & Smith Inc. [read post]
12 Oct 2022, 12:22 pm
The 9/11 lawyers at Hansen & Rosasco, LLP have helped past and current employees of the following downtown Manhattan companies win their 9/11 VCF claims: Goldman Sachs Morgan Stanley Marsh & McLennan Companies Merrill Lynch Bank of New York Mellon AIG (American International Group) New York Stock Exchange (NYSE) American Stock Exchange New York Mercantile Exchange (NYMEX) Federal Reserve Lehman Brothers Standard & Poor’s Bank of America Port Authority… [read post]
