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7 Nov 2009, 9:21 am
On Jan. 1, 2009, Merrill Lynch & Co. [read post]
6 Nov 2009, 12:53 pm
"Despite the large volume of online trading at Scottrade, the firm failed to establish any systematic or automated surveillance until 2005," FINRA executive vice president and chief of enforcement Susan Merrill said in the statement. [read post]
6 Nov 2009, 12:09 am
Testing the Scope of BofA's Privilege Waiver
The American Lawyer
A group of plaintiffs lawyers is testing whether Bank of America's waiver of attorney-client privilege in the Merrill Lynch flap might apply to shareholder suits against BofA related to its merger with Merrill. [read post]
5 Nov 2009, 7:40 pm
Merrill Lynch Asset Management, Inc., 694 F.2d 923, 928 (2d Cir. 1982). [read post]
5 Nov 2009, 2:17 pm
There has been one attorney-client privilege story dominating the news: Bank of America's decision to selectively waive attorney-client privilege under pressure from authorities investigating the bank's merger with Merrill Lynch. [read post]
5 Nov 2009, 10:48 am
The firm has hired a veteran from Merrill Lynch and Pershing to run its Century Securities Associates independent broker-dealer affiliate and add a custodial unit for RIAs. [read post]
5 Nov 2009, 9:20 am
Shout outs to the folks from Thomson Reuters, Dorsey & Whitney, Merrill, Kroll, Socha/Gelbmann, Jersey Girl, Laverne & Linda, et al! [read post]
5 Nov 2009, 8:05 am
Corporate Counsel is reporting this morning that in middle of the Merrill acquisition and merger, Brian Moynihan served as an interim General Counsel for BofA for a whole 37 days. [read post]
5 Nov 2009, 4:00 am
Merrill Lynch, 694 F.2d 923 (2nd Cir. 1982) The Jones v. [read post]
4 Nov 2009, 5:57 pm
Tjia is on court-supervised probation, but has managed to secure a job with Merrill Lynch in Singapore, according to a deposition. [read post]
3 Nov 2009, 10:01 pm
It's the Brown from the Merrill Lynch- Enron case. [read post]
3 Nov 2009, 5:14 pm
By Bob Hockett The Supreme Court heard oral arguments Monday in a fascinating case that DoL readers might find particularly interesting in a time of financial turbulence. [read post]
3 Nov 2009, 8:17 am
Merrill Lynch Asset Mgmt. [read post]
3 Nov 2009, 3:03 am
Merrill Lynch Asset Management, Inc. [read post]
2 Nov 2009, 2:33 pm
Merrill Lynch Asset Management, Inc. set prevailing standard for more than 25 years: Does the fee schedule represent a charge within the range of what would have been negotiated at arm's-length; or Are the fees so disportionately large that it bears no reasonable relationship to the services rendered Gartenberg found that fees paid to other fund advisers were not dispositive A court should rely on its own business judgment to determine whether the fee is inconsistent with the… [read post]
2 Nov 2009, 9:23 am
An interesting criminal trial has cranked up down in Texas, one pitting state prosecutors against Raymond Merril Jessop (pictured), a man affiliated with a polygamist group known as FDLS, or the Fundamentalist Church of Jesus Christ of Latter-day Saints. [read post]
2 Nov 2009, 8:40 am
(Recall, the MAC discussed here is the enormous 4Q08 Merrill losses). [read post]
2 Nov 2009, 8:32 am
Merrill Lynch Asset Management (1982) that a violation occurs when the adviser charges a fee that is "so disproportionately large that it bears no reasonable relationship to the services rendered" and would be considered outside "the range of what would have been negotiated at arm's length. [read post]
1 Nov 2009, 8:58 pm
’” [24] The sale of the Chicago Cubs would bring the Tribune creditors approximately $740 million. [25]The largest of these creditors includes JPMorgan, Chase Bank NA, Major League Baseball, and Merril Lynch Capital Corporation. [26]. [read post]
31 Oct 2009, 9:04 pm
Merrill Lynch undertook the confidential soundings and advised CBA of the outcome. [read post]
