Search for: "MERRILL LYNCH, PIERCE, FENNER & SMITH, INC."
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3 Apr 2013, 12:47 pm
Churning claims arise out of the inherent conflict of interest involved because a financial advisor is compensated by commissions earned in buying and selling securities on behalf of a client. [read post]
31 Jan 2013, 5:31 pm
Thus the Court held, consistent with the Supreme Court’s decision in in Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
30 Jan 2013, 11:36 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012), somehow resuscitated their claims. [read post]
23 Jan 2013, 6:09 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
13 Nov 2012, 11:54 am
Merril Lynch, Pierce Fenner andamp; Smith, Inc., 532 F. [read post]
31 Oct 2012, 11:00 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
10 Oct 2012, 8:44 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012). [read post]
3 Oct 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Sep 2012, 9:06 am
Yesterday, FINRA announced today that it andquot;censuredandquot; and fined Merrill Lynch, Pierce, Fenner andamp; Smith Inc. $500,000 for supervisory failures that allowed widespread deficiencies in filing hundreds of required reports, including customer complaints, arbitration claims, and related U4 and U5 filings, and for its failure to file the required reports. [read post]
23 Aug 2012, 7:09 pm
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling to dismiss the ARS lawsuit filed against Merrill Lynch (MER), Merrill Lynch, Pierce, Fenner, and Smith Inc. ( MLPF&S), Moody’s Investor Services (MCO), and the McGraw-Hill Companies, Inc. [read post]
17 Aug 2012, 1:47 pm
During the applicable period, from March 31, 2009 to August 13, 2009, he was registered with Merrill Lynch, Pierce, Fenner, & Smith, Inc. [read post]
17 Aug 2012, 6:47 am
Merril Lynch, Pierce, Fenner & Smith, Inc., 259 F.3d 154, 167 (3d Cir. 2001) (quoting Gen. [read post]
10 Aug 2012, 5:00 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 672 F.3d 482 (7th Cir. 2012) (discussed in this blog post). [read post]
9 Aug 2012, 6:21 am
Merrill, Lynch, Pierce, Fenner & Smith, 672 F.3d 482 (7th Cir. [read post]
7 Aug 2012, 6:15 am
Univ. of Chicago, 441 U.S. 677, 698-99 (1979) (holding that the Court’s “evaluation of congressional action in 1972 must take into account its contemporary legal context”); see also Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
1 Aug 2012, 5:51 am
Joyce, Chairman and CEO, Knight Capital Group, Inc. [read post]
19 Jul 2012, 2:48 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. (7th Cir. [read post]
17 Jul 2012, 2:34 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. 259 F.3d 154 (3d Cir. 2001). [read post]
28 Jun 2012, 9:47 pm
A June 21st announcement by the Financial Industry Regulatory Authority (FINRA) stated that the regulator has fined Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
28 Jun 2012, 3:38 pm
The Financial Industry Regulatory Authority says that it is fining Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8M in the wake of certain alleged supervisory failures that the SRO says led to the financial firm billing clients unwarranted fees. [read post]
