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11 Aug 2008, 9:12 am
Certainly, there were a few other state regulators involved, but NY AG Andrew Cuomo is responsible for orchestrating last week’s spate of settlements that will result in Merrill, Citi and UBS buying back more than $35 billion of illiquid auction-rates. [read post]
14 Feb 2008, 11:24 pm
Again, refer to the Poshard matter, or the Merrill matter or the Tribe matter. [read post]
29 Jun 2017, 8:04 pm
” Connecticut’s Secretary of State, Denise Merrill, said she would “share publicly-available information with the Kobach Commission while ensuring that the privacy of voters is honored by withholding protected data. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp Obsidian Financial Group … [read post]
27 Nov 2016, 1:10 am
Merrill Professor of Finance, Economics and International Business at NYU Stern School of Business. [read post]
30 Sep 2008, 5:00 pm
When Congress passed the Gramm-Leach-Bliley Act, it created a significant regulatory gap by failing to give to the SEC or any agency the authority to regulate large investment bank holding companies, like Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers, and Bear Stearns. [read post]
27 Aug 2009, 5:30 pm
Lamb of Valorem Law Group at his blog, In Search of Perfect Client Service IRS Losing Gift Tax Valuation Case a Boon for Same Sex Estate Planning - Emory law student Gideon Alper on his Gay Couples Law Blog Want to Persuade: Ask for a Favor - Dallas lawyer Cordell Parvin on his Law Consulting Blog Court Re-Rejects Bank of America & Merrill Lynch's SEC Settlement For Failure To Waive Attorney-Client Privilege - Philadelphia attorney Maxwell Kennerly of The… [read post]
14 Apr 2009, 9:40 am
.: Guy Moszkowski of Merrill Lynch wants to know if they made money from the now-famous government-financed American International Group transactions. [read post]
14 Oct 2011, 10:05 am
Chandor) father, worked for Merrill Lynch: A low-budget movie with a high-powered cast, its Wall Street characters are flawed, cynical—but, for once, actually human. * * *. [read post]
6 Feb 2020, 2:14 pm
Courthouse in Austin, Texas (2012, by Mack Scogin Merrill Elam Architects), and the Wilkie D. [read post]
9 Apr 2007, 8:44 am
Do you really get your Con Law book signed by Larry Tribe or your Admin book signed by Tom Merrill? [read post]
11 Jan 2012, 3:41 pm
Department of Environmental Protection (eminent domain)Merrill v. [read post]
16 Sep 2008, 12:29 am
Even as investors digested the historic news surrounding Lehman and Merrill Lynch, some were raising concerns about how it could spill over into other parts of the economy. [read post]
21 Feb 2008, 1:41 pm
And the clinic, which also exists at seven other New York-area schools, takes on major brokerage firms such as Merrill and Smith Barney. [read post]
25 Jul 2008, 2:47 pm
"Merrill Lynch, Wachovia, Citigroup and a number of other companies remain under investigation by various state attorneys general.For a copy of the NYAG complaint against UBS, please click here. [read post]
15 Apr 2011, 6:55 am
Other firms under investigation by the SEC include Citigroup, Morgan Stanley, Merrill Lynch—now part of Bank of America Corp. [read post]
4 Nov 2011, 5:32 am
., former Merrill Lynch CEO John Thain and hedge-fund manager and philanthropist Ezra Merkin, who was sued over money he lost in the Ponzi scheme run by Bernard L. [read post]
9 Jul 2007, 12:53 am
The following week, as Merrill Lynch and others pressured Bear Stearns to increase the collateral on loans they had made to its sinking fund, Mr. [read post]
9 Feb 2018, 12:53 pm
Thomas Francis Niles was previously registered with Merrill Lynch in New York, New York from September 1992 until November 1995, Salomon Smith Barney in New York from November 1995 until April 2000, Prudential Securities in New York from April 2000 until July 2003, Wachovia Securities in Latham, New York from July 2003 until March 2009, Morgan Stanley in Saratoga Springs, New York from March 2009 until June 2009 and Morgan Stanley in Saratoga Springs from June 2009 until September 2015. [read post]
1 Mar 2011, 5:35 am
In 2007 and 2008, investment firms like UBS, Morgan Stanley, Citigroup, Merrill Lynch and others sold billions of dollars of preferred stock issued by the two mortgage giants. [read post]
