Search for: "MERRILL LYNCH, PIERCE, FENNER & SMITH, INC."
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25 Aug 2011, 9:10 am
Respondent Merrill Lynch Pierce Fenner andamp; Smith, Inc., was represented by William E. [read post]
25 Jul 2011, 11:18 am
See Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Jul 2011, 11:13 am
See Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
3 Jun 2011, 4:30 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
2 May 2011, 11:23 pm
Stuart Phillip Miller, formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, was suspended from association with any FINRA member for one year and fined $10,000 in connection with the joint solicitation and handling of customer accounts with another individual - where Miller and the individual created a model fund portfolio to present to potential customers and misrepresenting that they managed the portfolio. [read post]
18 Apr 2011, 7:16 pm
---Krause v Merrill Lynch, Pierce, Fenner, & Smith, Inc, SDNY: Merrill Lynch could not be held liable under Title VII after an employee was allegedly sexually assaulted by a coworker off premises at a nonwork-related off-duty event that she attended. [read post]
8 Mar 2011, 3:56 pm
District Court for the Western District of Washington says that King County, Washington has pleaded sufficient facts to continue with its securities fraud lawsuit accusing Merrill Lynch, Merrill Lynch, Pierce, Fenner and Smith Inc. and Merrill Lynch Money Markets Inc. of facilitating its purchase of allegedly toxic mortgage-backed securities and violating the Washington State Securities Act. [read post]
25 Jan 2011, 1:52 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. [read post]
24 Jan 2011, 6:45 am
20 Jan 2011, 11:00 am
The past year offered an interesting mix of positive and negative news as investors around the world eagerly anticipated signs of economic recovery and financial stabilization. [read post]
15 Jan 2011, 11:10 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. (1979). [read post]
3 Jan 2011, 6:30 am
In In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161, (Tex. [read post]
27 Dec 2010, 12:30 pm
Merrill Lynch, Pierce, Fenner & Smith Inc., 372 N.J. [read post]
22 Dec 2010, 10:52 am
Merrill Lynch Pierce Fenner & Smith Inc. [read post]
13 Dec 2010, 7:04 am
Court of Appeals for the Second Circuit affirmed a district court’s ruling denying the motion of plaintiffs-appellants (collectively “LSED”) to compel arbitration of a dispute with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
22 Jul 2010, 1:52 pm
Whitehill In In re Merrill Lynch & Co., Inc. and Merrill, Lynch, Pierce, Fenner; Smith Incorporated, __ S.W.3d __ (June 25, 2010 slip op.), the Texas Supreme Court conditionally granted mandamus relief in favor of Merrill Lynch, staying litigation against it by a non-signatory company when that company’s sister company that was a signatory to an arbitration agreement was also asserting identical… [read post]
7 Jul 2010, 5:00 am
In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161 (Tex. [read post]
25 Jun 2010, 8:39 am
Stay of litigation pending a related arbitration In re Merrill Lynch & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc., No. 09-0161 (per curiam) (docket and briefs) The Court framed this case as similar to a previous decision, In re Merrill Lynch Trust Company FSB, 235 S.W.3d 185 (Tex. 2007) (orig. proceeding). [read post]
18 Jun 2010, 10:26 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
15 Jun 2010, 7:16 pm
Feb. 8, 2008) (the parties did not challenge that a former employee “could use anything ‘in his head,’ i.e., what he remembers from the [confidential] information he developed”); Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
