Search for: "MERRILL LYNCH, PIERCE, FENNER & SMITH, INC."
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26 May 2010, 7:02 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
24 May 2010, 7:30 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
3 May 2010, 1:37 pm
’” Id.; quoting Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
19 Apr 2010, 4:29 pm
Merrill Lynch Pierce Fenner & Smith, Inc., 798 F.Supp. 1427, 1431 (D.Neb. 1992) (finding that the four notes at issue failed to satisfy the second Reves factor where there was nothing in the facts to support a finding that the they were part of or comprised any sort of commonly traded or offered instruments); see also Premier Microwave Corp. v. [read post]
22 Dec 2009, 1:52 pm
Merrill Lynch Pierce, Fenner & Smith Inc. was acquired by the Bank of America last year and is now a wholly owned subsidiary of that Bank. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
26 Oct 2009, 1:37 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., supra, 68 Cal.App.4th at p. 459.)In re Baycol Cases I & II, 2009 Cal. [read post]
23 Oct 2009, 2:48 pm
On October 22, 2009, Missouri Secretary of State Robin Carnahan announced that Merrill, Lynch, Pierce, Fenner & Smith, Inc. [read post]
22 Sep 2009, 2:26 pm
Following a Texas securities fraud claim that Bank of America's Merrill Lynch, Pierce, Fenner & Smith Inc. allowed unregistered sales persons to sell securities, the Bank of America unit has agreed to pay $26.5 million as part of a national settlement over the allegations. [read post]
21 Sep 2009, 7:20 am
Texas will receive $1.6 million in the settlement with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
18 Sep 2009, 4:59 pm
" [Merrill Lynch, Pierce, Fenner & Smith, Inc. v. ]Dabit , 547 U.S. [71,] 87 [(2006)]. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
6 Aug 2009, 1:07 am
The Patent and Trademark Office (PTO) bears the burden of establishing that a proposed mark is generic, In re Merrill Lynch, Pierce, Fenner, & Smith, Inc., 828 F.2d 1567, 1571 (Fed. [read post]
4 Aug 2009, 10:57 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 295 N.J. [read post]
31 Jul 2009, 4:42 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. 05 Civ. 10264, 2006 U.S. [read post]
28 Jul 2009, 2:03 pm
FINRA announced today that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
18 Jul 2009, 7:31 am
This post is by my colleagues Mark Schonfeld, John Sturc, Barry Goldsmith, Eric Creizman, Jennifer Colgan Halter, Akita St. [read post]
29 May 2009, 8:02 am
Merrill Lynch, Pierce, Fenner, Smith, Inc., 395 F.3d 25; 2005 U.S. [read post]
18 May 2009, 10:25 am
Merrill Lynch, Pierce, Fenner & Smith, Inc., 395 F.3d 25 (2d Cir. 2005), the plaintiff securities broker brought a putative state law class action alleging that the defendant investment firm had manipulated various stock prices, which allegedly caused the broker to hold overvalued securities. [read post]
20 Apr 2009, 7:07 pm
A motion by Merrill Lynch, Pierce, Fenner & Smith Inc. to stop two former financial advisers from using customer information they received while working at the investment firm has been denied. [read post]
