Search for: "Merril"
Results 3781 - 3800
of 5,198
Sorted by Relevance
|
Sort by Date
11 Mar 2009, 5:22 pm
Wouldn't Merrill Lynch, Miami, have required a copy of the memorandum as part of the account-opening documentation for Conti-Tech's securities account? [read post]
19 Sep 2016, 7:35 am
From 1988 through December 2015, Braley was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
9 Apr 2009, 6:19 am
The emergency-room atmosphere that permeated the processing of derivatives deals, corporate takeovers, and whatever else has been going on at Goldman, Bear, Citi and Merrill for the past decade, could rival that of an operating room during open-heart surgery. [read post]
17 Jun 2009, 1:50 pm
Merrill Lynch Assset Management — a ruling that the Supreme Court declined to review in 1983. [read post]
10 Oct 2007, 10:15 am
Unless the 1934 Congress had a crystal ball allowing it to divine what was going to happen in 1966 and 1994, it simply could not have foreseen a need to include an express provision for aiding and abetting liability in order to reach the actions of Merrill Lynch in the NBT or the vendors in Charter Communications. [read post]
2 Dec 2015, 5:07 am
Briefly: In his column for Bloomberg View, Noah Feldman discusses Merrill Lynch, Pierce, Fenner, & Smith v. [read post]
12 Aug 2008, 11:28 am
Merrill Lynch & Co., 396 F.3d 161, 172-77 (2d Cir.2005) (failure to plead any facts supporting loss causation warranted 12(b)(6) dismissal of complaint).We agree. [read post]
19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader Over Withheld… [read post]
29 Sep 2008, 1:53 pm
The defendants in that case include Merrill Lynch, Citigroup, Morgan Stanley, UBS Securities, Wachovia Capital Markets, and four senior executives of Fannie Mae. [read post]
24 Holland & Hart Lawyers Recognized by 2022 Best Lawyers in America and Best Lawyers: Ones to Watch
2 Sep 2021, 10:04 am
., and eight lawyers included in the 2022 Best Lawyers: Ones To Watch list: Alex Grande, Labor and Employment Law – Management, Best Lawyers: Ones To Watch Brad Cave, Employment Law – Management; Labor Law – Management Brian Mumaugh, Employment Law – Management; Labor Law – Management Brianne McClafferty, Litigation – Labor and Employment, Best Lawyers: Ones To Watch Brit Merrill, Litigation – Labor and Employment; Labor and Employment Law –… [read post]
28 Sep 2008, 5:10 am
Chairman Cox also described the agency's plans for enhancing SEC oversight of the broker-dealer subsidiaries of bank holding companies regulated by the Federal Reserve, based on the recent Memorandum of Understanding (MOU) between the SEC and the Fed.With the federalization or bank holding company status of the investment banks regulated under the CSE program, that regime simply lost its reason for being.When Congress passed the Gramm-Leach-Bliley Act, it created a significant regulatory gap by… [read post]
6 Aug 2012, 2:41 pm
Carilion Clinic, Reuters, July 30, 2012 More Blog Posts: Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court, Stockbroker Fraud Blog, November 20, 2012 The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate Securities, Institutional… [read post]
4 Jun 2009, 9:52 am
CalPERS and other institutional investors forced Bank of America to separate its Chairman and CEO positions after learning that CEO Ken Lewis approved huge bonuses for Merrill Lynch executives right before that company (now a subsidiary of Bank of America) disclosed huge operating losses. [read post]
16 Dec 2011, 10:54 pm
Morgan in Cross Hairs, The Wall Street Journal, December 17, 2011 Bank of America in $8.5 billion settlement, CNN, June 29, 2011 More Blog Posts: Bank of America’s Merrill Lynch Settles for $315 million Class Action Lawsuit Over Mortgage-Backed Securities, Institutional Investor Securities Blog, December 6, 2011 FDIC Objects to Bank of America’s Proposed $8.5B Settlement Over Mortgage-Backed Securities, Stockbroker Fraud Blog, August 30, 2011 Some of the SEC Charges Against… [read post]
5 Jan 2011, 8:02 am
Legendary professors, including Richard Hemingway, Victor Kulp, Eugene Kuntz, Maurice Merrill, Joe Rarick, and Rennard Strickland have made the College of Law a national leader in energy, natural resources, and indigenous peoples. [read post]
27 Mar 2007, 7:35 am
NYSER Executive Vice President of Enforcement Susan Merrill says that blind reliance on customer representations that a sale is long when securities are being sold is not appropriate if a firm sees evidence of short selling. [read post]
11 Sep 2008, 3:52 pm
Sovereign funds have received widespread media coverage for taking stakes in Merrill Lynch, Citigroup, and other distressed financial institutions in the U.S. and Europe. [read post]
2 Mar 2012, 10:30 am
Three clergy who work with Americans United (among them Rabbi Merrill Shapiro, president of AU's Board of Trustees) sent a letter to Florida senators expressing opposition to the bill in November. [read post]
28 Sep 2022, 8:06 am
;BofA Securities Inc. together with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
24 Oct 2018, 6:19 pm
Former Wells Fargo Broker Barred for Unauthorized Trading In August, FINRA barred a former Wells Fargo broker who had also previously worked at Merrill Lynch. [read post]
