Search for: "Smith v. MERRILL LYNCH, PIERCE, FENNER & SMITH"
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18 May 2009, 10:25 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 395 F.3d 25 (2d Cir. 2005), the plaintiff securities broker brought a putative state law class action alleging that the defendant investment firm had manipulated various stock prices, which allegedly caused the broker to hold overvalued securities. [read post]
26 Jul 2007, 11:18 am
Sykes v. [read post]
3 Apr 2013, 12:47 pm
See, e.g., Carras v. [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]
13 Oct 2011, 3:47 pm
Schlumberger Technology Corporation v. [read post]
8 Sep 2022, 9:01 pm
Joseph Kennedy, the first Chairman of the SEC, had a saying: “No honest business need fear the SEC. [read post]
9 Oct 2015, 12:15 pm
California Teachers Association, 14-915; Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
8 Jun 2022, 9:01 pm
Thank you, Rich (Repetto), for that kind introduction. [read post]
23 Apr 2018, 1:20 am
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
18 Jul 2009, 7:31 am
This post is by my colleagues Mark Schonfeld, John Sturc, Barry Goldsmith, Eric Creizman, Jennifer Colgan Halter, Akita St. [read post]
14 Feb 2018, 2:57 pm
In SEC v. [read post]
