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14 Nov 2023, 9:01 pm
For example: The SEC charged Goldman Sachs & Co. [read post]
15 Nov 2023, 6:26 am
Merrill Lynch paid a $6 million penalty to settle the SEC charges. [read post]
15 Jun 2012, 2:38 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc. (1972) 24 Cal.App.3d 35, 43; Flores v. [read post]
21 Apr 2009, 2:40 am
MRU collected its loans into student loan pools that were packaged and sold by broker-dealers (including Merrill Lynch) to investors. [read post]
19 Nov 2007, 12:03 am
The study questioned 21 leading blue-chip companies, including Shell, Royal Bank of Scotland and Merrill Lynch, on their dispute management. [read post]
5 Apr 2009, 1:26 pm
In September 2008, the government takeover of mortgage giants Fannie Mae and Freddie Mac was followed by the collapse of Lehman Brothers, the acquisition of Merrill Lynch by Bank of America and an $85 billion (and now $170 billion) government investment in American International Group. [read post]
9 May 2008, 10:30 pm
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: Order to transfer myspace.co.uk to MySpace overturned: (Out-Law), (IMPACT), New branding scheme for Ethiopian coffees: (Afro-IP), (IP finance), (IPKat), USPTO to appeal Tafas/GSK v Dudas: (Patent Docs), (Patently-O), (PLI), (Patent Baristas), (Managing Intellectual Property), (IP Law360), (Patent Prospector), (Ladas & Parry), … [read post]
3 Apr 2013, 12:47 pm
Hutton & Co., 899 F.2d 485, 489 (6th Cir. 1990). (1) Control In a FINRA arbitration case, if a financial advisor is to be found liable for churning or excessively trading an account, the arbitration panel must first find that the broker had either express or implied control over the account (i.e. the excessive trading was at the direction of the advisor and not the client – a financial advisor is obviously not responsible if the client… [read post]
25 Apr 2015, 11:03 am
The first edition of the Reference Manual on Scientific Evidence [Manual] was published in 1994, a year after the Supreme Court delivered its opinion in Daubert. [read post]
4 Oct 2016, 6:55 pm
John Fund, Inc., 134 S. [read post]
14 Feb 2018, 2:57 pm
ANZ Securities, Inc. [read post]
29 Nov 2008, 11:47 am
Hillcrest Hospice, Inc., No. 08-11626 (11th Cir. [read post]
5 Jan 2009, 3:15 am
MGS 782 Lex, Inc., No. 07-4480 (2d Cir. [read post]
10 May 2010, 11:30 pm
Richard Fentiman is Reader in Private International Law at the University of Cambridge, where he teaches the postgraduate course on International Commercial Litigation. [read post]
11 Mar 2011, 2:28 pm
Heightening concerns for some of them: Far fewer newly issued muni-bonds are insured now—6.2%, versus 57% in 2005, according to Bank of America Merrill Lynch. [read post]
8 Sep 2022, 9:01 pm
Joseph Kennedy, the first Chairman of the SEC, had a saying: “No honest business need fear the SEC. [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]
11 Jan 2020, 5:48 am
January 1, 2020The October 2019 update to my 9 volume treatise, Law and The Family New York, 2d has been released and is available on the Thomson Reuters website bookstore. [read post]
27 Mar 2023, 9:01 pm
This figure is significantly lower than in 2016, when the Delaware Court of Chancery effectively put an end to the practice of disclosure-only settlements in In re Trulia Inc. [read post]
17 Dec 2010, 8:46 am
By the end of 2007, we would all start hearing the surreal amounts of write-downs being taken by Merrill Lynch and Citibank… and the rest would soon join in. [read post]
