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1 Apr 2010, 6:31 am
Merrill Lynch Asset Management, Inc. applied the correct standard for determining when an investment adviser has breached the fiduciary duty owed to captive mutual fund shareholders established under Section 36(b) of the Investment Company Act of 1940 (ICA). [read post]
2 Dec 2011, 6:37 am
At this blog, Thomas Merrill previews next week’s argument in PPL Montana, LLC v. [read post]
3 Feb 2012, 3:38 pm
Another example involves Merrill Lynch and Bank of America (The two financial firms merged in 2009) settling 15 securities fraud cases while being granted at least 39 waivers. [read post]
14 Feb 2012, 10:24 am
Issues: Appellants state the issues as follows:The order does not comport with the standard of applicable law, specifically, W.R.C.P Rule 17(a) states that a ratification, joinder, or substitution shall have the same effect as if the action had been commenced in the name of the real party in interest, therefore, the Court improperly applied the facts of this case to the law as set forth in Merrill v. [read post]
23 Nov 2015, 11:40 am
The White Law Group is investigating the liability that brokerage firms may have for recommending certain structured notes tied to oil, including structured notes tied to oil offered by Barclays (NYSE:BCS), Morgan Stanley (NYSE:MS), Deutsche Bank (NYSE:DB), UBS (NYSE:BNP PARIBAS), Citigroup (NYSE:C), Bank of America Merrill Lynch (NYSE:BAC), JPMorgan Chase(NYSE:JPM), Credit Suisse (NYSE:CS), and BNP Paribas. [read post]
17 Jan 2008, 5:50 am
Merrill Lynch, et al. (06-1341). ...Justice Anthony M. [read post]
20 Sep 2008, 3:49 am
Although these arguments have been subject to a fair amount of criticism, events that have occurred over the last few days severely expose chinks in the U.S. model of corporate governance, and provide at least some anecdotal evidence that such model is not infallible after all.The question that is being posed is: where was corporate governance when the CEOs and boards of directors of large and admired U.S. corporations such as Bear Stearns, Lehman Brothers, Freddie Mac, Fannie Mae, Merrill… [read post]
17 May 2018, 12:45 pm
Among the customers that were harmed: Citigroup Global Markets (C), Barclays Capital (BARC), Goldman Sachs (GS) Asset Management, Merrill Lynch Wealth Management, Morgan Stanley (MS), and others. [read post]
2 Dec 2021, 7:03 am
(CRD#:7059), EL PASO, TX 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Recovery of Investment Losses The White Law Group is investigating the liability that Rodriguez’s former employer may have for failure to monitor his activities. [read post]
19 Oct 2007, 3:11 am
Goodbye Bill.Elizabeth Merrill has a nice article at ESPN titled Huskers fans relieved to have Osborne back manning the helm. [read post]
23 Dec 2014, 9:31 am
By: Merril Hirsh, James M. [read post]
16 Jul 2011, 8:52 pm
Related Web Resources: Wedbush ordered to pay $3.5M for ‘morally reprehensible failure', Investment News, July 11, 2011 FINRA Orders Wedbush to pay trader $3.5 million, OnWallStreet, July 1, 2011 More Blog Posts: FINRA Panel Orders Merrill Lynch Professional Clearing Corporation to Pay $64M Over Losses Sustained by Rosen Capital Institutional LP and Rosen Capital Partners LP, Institutional Investors Securities Blog, July 14, 2011 Raymond James Must Pay $925,000 Over… [read post]
2 Jan 2018, 6:58 am
., Merrill Lynch, Pierce, Fenner & Smith Incorporated, F&G Securities, Inc., and Diones & Company. [read post]
8 Dec 2008, 7:06 pm
He noted the $161.5 million awarded last year to outgoing Merrill Lynch chief Stanley O'Neil. [read post]
8 Feb 2010, 3:15 am
Attorney’s Offices for the Southern District of New York and Western District of North Carolina, the Securities and Exchange Commission (“SEC”), and the FBI into the circumstances of Bank of America’s merger with Merrill Lynch and its receipt of additional TARP funds. [read post]
23 Aug 2012, 12:21 pm
Merrill at Flickr via Creative Commons-licensed content requiring attribution. [read post]
21 Jun 2017, 8:50 am
From October 2009 until August 2011, Lech-Loubet was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
20 Sep 2017, 6:25 am
From October 2009 until May 2011, Ryman was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated. [read post]
15 Nov 2011, 5:32 am
The first-sale doctrine is a limitation on copyright that was recognized by the Supreme Court of the United States in 1908 (see Bobbs-Merrill Co. v. [read post]
5 Mar 2018, 6:00 am
Doug describes a project that I mentioned previously here at Musings and that is well described in his blog and in a recent newsletter from Stuart Kaplow (@stuartkaplow), namely, the Chesapeake Bay Foundation’s Philip Merrill Environmental Center project. [read post]
