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10 Aug 2022, 6:30 am
Merrill Lynch & Co., 396 F.3d 161 (2d Cir. 2005)—in which the court previously held that misstatements and omissions alone do not suffice for scheme liability under Rule 10b-5(a) and (c) of the federal securities laws—continues to retain its vitality after the Supreme Court’s decision in Lorenzo v. [read post]
9 Aug 2022, 12:35 pm
The Hearing Committee order - entered by Chair Merril Hirsh - extends the time to answer the Specification of Charges as well as to file other "responsive... [read post]
9 Aug 2022, 7:20 am
Wendy Merrill, writing for Attorney at Work, suggests four strategies to keep your associates from leaving for greener pastures. [read post]
8 Aug 2022, 4:02 am
Overtime at Merrill Lynch Prompts Uneven-Handed FINRA Regulation (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6602/merrill-lynch-finra-overtime/Early on in "Macbeth," the eponymous character famously muses about cases, bloody instructions, even-handed justice, and a poisoned chalice. [read post]
8 Aug 2022, 4:02 am
TAT Capital Partners, Ltd, Defendant/Respondent (Opinion, Court of Appeal for the State of California)Former Investment Adviser Sentenced to Five Years for Defrauding his Clients of More than $7 Million (DOJ Release)Order Determining Whistleblower Award Claims <a href="#mendez">FINRA Bars Merrill Lynch NRF for Overtime CompensationIn the Matter of Jolam Mendez, Respondent (FINRA AWC)</a><a href="#stoakes">FINRA Fines and Suspends Rep for Electronic… [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]
4 Aug 2022, 6:30 am
This post was prepared for a roundtable on Wrestling with Religious Diversity, convened as part of LevinsonFest 2022—a year-long series gathering scholars from diverse disciplines and viewpoints to reflect on Sandy Levinson’s influential work in constitutional law. [read post]
3 Aug 2022, 10:56 am
» The post Ernest Frerking, Merrill Lynch Broker Barred from Securities Industry appeared first on The White Law Group. [read post]
3 Aug 2022, 8:20 am
(Updated) - July 13, 2022 I also recommend Tom Merrill's series of posts about the case. [read post]
2 Aug 2022, 9:01 pm
Merrill Lynch & Co., 396 F.3d 161, 177 (2d Cir. 2005). [5] Lorenzo, 139 S. [read post]
1 Aug 2022, 1:39 pm
, In re Merrill Lynch, Pierce, Fenner, & Smith, Inc., 828 F.2d 1567, 1569 (Fed. [read post]
31 Jul 2022, 6:30 am
This post was prepared for a roundtable on Wrestling with Religious Diversity, convened as part of LevinsonFest 2022—a year-long series gathering scholars from diverse disciplines and viewpoints to reflect on Sandy Levinson’s influential work in constitutional law. [read post]
29 Jul 2022, 4:10 am
[The Court should assimilate the “major questions” doctrine of West Virginia v. [read post]
28 Jul 2022, 4:10 am
[The major questions doctrine inverts the Chevron doctrine, is indeterminate, and, as a practical matter, will encourage courts to engage in something more akin to political punditry than law.] [read post]
27 Jul 2022, 5:57 pm
Merrill brings more than 30 years of experience working in the financial services industry. [read post]
27 Jul 2022, 2:38 pm
Once Merrill Lynch found out otherwise, in July 2020, Merrill Lynch fired him. [read post]
27 Jul 2022, 10:04 am
Stewart was charged alongside her former Merrill Lynch broker, Peter Bacanovic, for their involvement in a sale of $230,000 worth of ImClone Systems stock just one day before the FDA announced that it would not review the company’s cancer drug application. [read post]
27 Jul 2022, 4:10 am
[The Court did not engage with the doctrine directly (as opposed to simply creating an exception to it). [read post]
26 Jul 2022, 4:10 am
[A correct interpretation of the statute at issue—Section 111(d) of the Clean Air Act—does not give the EPA the authority to issue the sort of regulations at issue in the case.] [read post]
25 Jul 2022, 4:05 am
[Deciding the case might have been squarable with Article III, but not the way Court went about it.] [read post]
