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16 Oct 2009, 4:53 am
It's like the swine flu: it affects everybody who comes near it (the Merrill acquisition). [read post]
1 Mar 2010, 5:27 am
Here's the changes: - Withdrawn Question 119.04 - Withdrawn Question 119.05 - Withdrawn Question 119.11 - Withdrawn Question 119.12 - Withdrawn Question 119.15 - Revised Question 119.16 - New Question 119.24 - Withdrawn Question 120.05 - Revised Interpretation 220.01 Understanding Investor Perception Studies In this podcast, David Calusdian of Sharon Merrill Associates explains the importance of investor perception studies, including: - In a nutshell, what… [read post]
18 Feb 2010, 12:27 pm
She concluded that the alleged misstatements concerned only the valuation of the funds and were not made in connection with the purchase or sale of covered securities.Judge Scheindlin recognized that the Supreme Court interpreted the "in connection with" requirement rather broadly in the 2006 Merrill Lynch v. [read post]
11 Jul 2012, 9:04 am
Says Merrill Matthews, resident scholar with the Institute for Policy Innovation in Texas. [read post]
28 Mar 2010, 8:07 am
Among other things, the Global Settlement, which binds 12 securities firms, including Goldman Sachs, JP Morgan, Merrill Lynch, Citigroup, Credit Suisse, Morgan Stanley and Deutsche Bank, puts in place limits on the interaction between the research and investment banking arms of the firms – a so-called “firewall”. [read post]
20 Nov 2008, 5:41 pm
  Merrill Lynch has said that it is doing the same. [read post]
23 Sep 2010, 8:54 pm
Marquette Thomas Merrill (Columbia Law) presents the Bolden Lecture. [read post]
9 May 2010, 8:55 am
In this case, the accident at 71st Street and Merrill Avenue occurred shortly before 10 p.m. [read post]
15 Oct 2015, 6:56 am
C’s Proposed Lobbying Crackdown Irks Nonprofits” by John Wildermuth for San Francisco Chronicle New York: “JCOPE Announces Amnesty Program for Some Lobbyists” by Casey Seiler for Albany Times Union Campaign Finance “The Gender Gap in Political Giving” by Jeremy Merrill for New York Times “Voters Are Mad about Mega-Donors, and It’s Helping Trump and Sanders” by Matea Gold and Jenna Johnson for Washington Post Montana: “Court Rejects… [read post]
18 Sep 2008, 5:55 pm
Going back to the firm will likely get even more difficult as additional attorneys from Lehman and Merrill Lynch flood the midlevel market. [read post]
6 Jan 2010, 10:31 am
As we all prepare for the March 1 trial date, Rakoff of the S.D.N.Y. ruled Monday that BofA would not be able to present expert testimony that media reports of the Merrill bonuses constituted disclosure to shareholders. [read post]
1 May 2008, 4:47 am
" Though he declined to certify a class against Clifford Chance, the judge did allow the case to proceed against other defendants, including Merrill Lynch and Deloitte. [read post]
7 Nov 2009, 2:48 pm
Merrill Lynch & Co., Inc., 2009 WL 2242605).I believe Sotheby's own motion for summary judgment is still pending.More Minor legal news here. [read post]
30 Mar 2010, 1:47 pm
Merrill Lynch Asset Management, Inc.: “[T]he test is essentially whether the fee schedule represents a charge within the range of what would have been negotiated at arm’s-length in light of all of the surrounding circumstances. . . . [read post]
9 Mar 2021, 12:41 pm
Spotts, who cofounded Prophecy Asset Management in 2001 after spending 12 years at Merrill Lynch, declined to comment to IBJ. [read post]
11 Jan 2009, 11:35 am
ARS Market Collapse UBS, Bank of America, Merrill Lynch, Wachovia, and other large investment firms were accused of knowingly misleading investors into believing that auction-rate securities were "safe," liquid like cash investments. [read post]
23 Sep 2008, 6:00 pm
We watched as Bear Stearns and Merrill were acquired by commercial banks and Lehman filed for bankruptcy. [read post]
18 Jun 2010, 6:41 am
It is not because we get stock advice or other financial services in exchange for our advice, but rather, because the financial services industry has taken the bull by the horns so to speak, and begun to define how non-competes will be used and enforced in the industry.In 2004, CitiGroup (Smith Barney), Merrill Lynch and UBS, drafted and signed theProtocol for Broker Recruiting. [read post]
18 May 2010, 3:02 pm
Another a $1,000-a-plate fundraiser for Bob Corker (Tennessee, Republican), a Senate Banking Committee member, is being hosted by Tim Locke, a lobbyist for Bank of America, which owns Merrill Lynch. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases); Ameriprise Financial Services (18 cases);… [read post]
