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4 Jun 2013, 7:26 am
Was this arbitration started as a legal maneuver to preempt a former employer's filing of an arbitration to recover on a promissory note balance? [read post]
5 Apr 2012, 3:19 am
... [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]
9 Oct 2020, 8:45 am
In today's featured FINRA regulatory settlement, we come across yet another in a seemingly endless line of so-called Outside Business Activities ("OBAs") cases. [read post]
22 Jan 2018, 4:32 am
Some public customers approach a FINRA arbitration against their former brokerage firm and stockbroker as if it's a fairly informal event -- not like going to court and maybe you could even show up in shorts and flip-flops. [read post]
2 Jun 2016, 10:03 am
In my role as a lawyer for individual registered representatives, I am frequently presented with questions about what happens to deferred compensation when an associated person quits or is fired by a FINRA member firm. [read post]
23 Mar 2012, 9:31 am
... [read post]
11 Feb 2013, 9:18 am
... [read post]
9 Feb 2019, 6:43 am
In today's featured FINRA regulatory settlement, a former employee of an unnamed bank is barred because of her alleged misconduct at that unnamed bank, and, well, odd, but, Wall Street's fearless self-regulatory-organization seems fearful to name the bank by name. [read post]
25 Jan 2011, 2:38 pm
Since the horrific fall and winter of 2008-2009, the banking industry has made a lot of changes to the way it handles proprietary trading -- trades made on its own behalf. [read post]
27 Jun 2007, 10:28 pm
Press release: "Driven by a strong global economy, the wealth of the world's high-net-worth individuals (HNWIs1) increased 11.4 percent to... [read post]
21 Aug 2008, 11:03 pm
Richard Bernstein, Merrill Lynch's chief investment strategist recently called the credit crisis "broad, deep and global" and "far from over. [read post]
31 May 2022, 2:47 pm
In those earlier cases (especially Merrill v. [read post]
31 Mar 2009, 2:21 pm
Merrill Lynch vigorously contested the case. [read post]
30 Oct 2009, 6:00 am
John Thain presumably left the commode on legs behind when he left Merrill Lynch. [read post]
29 Apr 2019, 12:55 pm
., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
6 Aug 2009, 1:07 am
Merrill Lynch, 828 F.2d at 1569; see H. [read post]
9 Sep 2008, 8:54 pm
Moreover, Merrill had to finance 75% of the purchase price in order to consummate the transaction. [read post]
29 Aug 2016, 11:17 am
Sisters Held and Merrill were both nurse practitioners who worked at a clinic administering flu shots, dispensing insulin and providing other medical care for children and adults who couldn't afford it. [read post]
29 Jun 2015, 6:21 am
Among those athletes whose story were mentioned was Doug Mirabelli who recently won his arbitration dispute with Merrill Lynch where the firm was ordered to pay more than $1.2 million. [read post]
