Search for: "Merrill Lynch Pierce Fenner & Smith Incorporated"
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12 Jan 2012, 4:48 am
. - I remember slugging proof on a Merrill Lynch deal and being astonished at how fast their people could say "Merrill no com Lynch com Pierce com Fenner ampersand Smith no com Incorporated six up. [read post]
13 Oct 2011, 3:47 pm
BAKER HUGHES INCORPORATED, Appellee On Appeal from the 270th District Court Harris County, Texas Trial Court Case No. 2011-25539 O P I N I O N Schlumberger Technology Corporation and Baker Hughes Incorporated are in the midst of an arbitration proceeding to resolve patent disputes. [read post]
3 Jun 2011, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
2 May 2011, 11:23 pm
Stuart Phillip Miller, formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, was suspended from association with any FINRA member for one year and fined $10,000 in connection with the joint solicitation and handling of customer accounts with another individual - where Miller and the individual created a model fund portfolio to present to potential customers and misrepresenting that they managed the… [read post]
28 Mar 2011, 7:06 am
Engagement of Merrill Lynch, Pierce, Fenner & Smith Incorporated As further discussed above (see "--Background of the Merger"), the Company retained BofA Merrill Lynch as one of its financial advisors in connection with the merger. [read post]
25 Jan 2011, 12:31 pm
The SEC today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated with misusing customer order information to place proprietary trades for the firm and for charging customers undisclosed trading fees. [read post]
20 Jan 2011, 11:00 am
The past year offered an interesting mix of positive and negative news as investors around the world eagerly anticipated signs of economic recovery and financial stabilization. [read post]
13 Dec 2010, 7:04 am
Court of Appeals for the Second Circuit affirmed a district court’s ruling denying the motion of plaintiffs-appellants (collectively “LSED”) to compel arbitration of a dispute with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
22 Jul 2010, 1:52 pm
Whitehill In In re Merrill Lynch & Co., Inc. and Merrill, Lynch, Pierce, Fenner; Smith Incorporated, __ S.W.3d __ (June 25, 2010 slip op.), the Texas Supreme Court conditionally granted mandamus relief in favor of Merrill Lynch, staying litigation against it by a non-signatory company when that company’s sister company that was a signatory to an arbitration agreement was also asserting identical… [read post]
18 Jun 2010, 10:26 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
7 Jul 2009, 10:31 am
The New York Attorney General announced Assurances of Discontinuance with Credit Suisse Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated relating to the auction rate securities settlements reached last summer. [read post]
25 Jul 2008, 7:17 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
16 Jul 2008, 9:25 pm
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. [read post]
