Search for: "Merril"
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26 Jan 2015, 8:00 am
Green and Merrill Catharine Hodnefield, “Reflections on Freedom and Criminal Responsibility in Late Twentieth Century American Legal Thought”Timothy S. [read post]
23 May 2018, 9:10 am
FINRA is on the Wall Street beach again watching high flyin' kites -- or, put in more formal terms, we got another FINRA regulatory settlement involving a former Merrill Lynch registered rep accused of check kiting. [read post]
Love the One You Whiff: A Federal Case Involving Two Sets of Golf Clubs and a Winged Foot Membership
18 Jul 2022, 4:06 am
Today's featured lawsuit is about a guy who almost made it onto the PGA tour, but then wound up playing through at Merrill Lynch, Lehman Brothers, UBS; and, among the divots in his life was an $850,000 debt owed to UBS and a $1 million debt owed to a family office. [read post]
11 Feb 2014, 9:46 am
(which merged with Merrill Lynch). [read post]
25 Apr 2015, 4:21 am
., Civil Action No. 1:10-CV-01277 Notice of Covered Action 2011-33In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Administrative Proceeding File No. 3-14204 Notice of Covered Action 2011-101In the Matter of Navistar International Corporation, Daniel C. [read post]
8 Mar 2019, 8:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4480/securities-industry-commentator/SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)Good Intentions Pave Merrill Lynch Stockbroker's Retirement… [read post]
29 Apr 2013, 2:00 pm
Merrill Dow Pharmaceuticals, putting trial judges in a gatekeeper role to only allow reliable expert opinions to reach a jury. [read post]
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms pledge to… [read post]
24 Oct 2022, 3:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6731/securities-industry-commentator/FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade… [read post]
19 May 2019, 6:42 am
Born in Brooklyn, NY, in 1936, educated at Brooklyn College and receiving his doctorate at the University of Wisconsin, he studied under the great Merrill M. [read post]
15 May 2020, 4:55 am
FINRA Says Impeccable Merrill Lynch Has No Relevant Disciplinary History(BrokeAndBroker.com Blog)SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct (SEC Release)SEC Charges Three Individuals for Offering and Selling Fraudulent Oil and Gas InvestmentsCFTC Charges Danish Man in $1.5 Million Forex Fraud Scheme (CFTC Release)Landry's CEO Tilman Fertitta asks Trump to set aside PPP money for large restaurant chains / Fertitta asked for "a category for the larger… [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Monmouth County Man Admits Orchestrating Multimillion-Dollar Accounts Receivable Factoring Scheme (DOJ Release)Colorado CEO and Fund Manager Admits to $11 Million Securities Fraud Scheme (SEC Release)Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for Fraudulent Forex and Digital Asset Scheme (CFTC Release)SEC Slaps Generic, Non-Specific… [read post]
8 Aug 2022, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6599/securities-industry-commentator/Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)Case Allowed to Move Forward Against RobinhoodIn re: January 2021 Short Squeeze Trading Litigation (Securities Tranche) (Order, SDFL)Vancouver, Washington 'Investment Advisor' pleads guilty to defrauding… [read post]
10 Aug 2009, 12:30 pm
Merrill Cohen 7910 Woodmont Avenue, Suite 760 Bethesda, MD 20814 Phone: (301)881-8300 Steven H. [read post]
9 May 2016, 6:06 am
Bank Of America Corporation, Bank Of America Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Defendants (Complaint, SDNY, 16-CV-03653, May 16, 2016).BackgroundThe Complaint c... [read post]
4 Oct 2019, 8:38 am
featured in today's Securities Industry Commentator:Guest Blog: Merrill Lynch Production Policy Causes Age Discrimination by Jerry Marks, Esq (BrokeAndBroker.com Blog)How Forced Arbitration Tipped the Scales (PBS / Season 1 Episode 1)Former Salesman Pleads Guilty In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock (DOJ Release)Federal Jury Convicts Owner of Bullion Direct, Inc. in Austin for Investment and Wire Fraud Scheme (DOJ Release)Monroe County Resident Charged… [read post]
3 Apr 2020, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5155/securities-industry-commentator/COVID-19 throws a curve ball at RIA M&A market, gut-punching valuations and causing fence-sitters to resolve to get the hell out, but Q1 prices hold their own / M&A rainmakers hedge their bets on how deep COVID-19 will drive cuts to RIA sale prices, although first quarter market has been stable (RIABiz by Oisin… [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4892/securities-industry-commentator/Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)As behemoth brokerage firms go zero-commission on trades, advisors are concerned (CNBC.com by Andrew Osterland)Ex-Merrill broker-turned-RIA settles CE cheating allegations (On Wall Street by Kenneth Corbin)SEC Dismisses… [read post]
30 Nov 2015, 5:42 pm
" Previously, Yale Law School issued a news release titled "Gag Order Lifted on Nicholas Merrill Through MFIA Clinic Case Win. [read post]
20 Apr 2017, 10:17 am
Distilled even further, the dispute boils down to enough just not being enough.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2016, former Merrill Lynch employee Claimant Maile sought $1 in compensatory damages and an expungement of a “customer dispute occurrence” from his Central Registration Depository records (“CRD”). [read post]
